LADENBURG THALMANN FINANCIAL SERVICES INC. current holdings: Foreign ADRs
LADENBURG THALMANN FINANCIAL SERVICES INC. reported $0.03 billion in depositary receipts for foreign shares (depositary receipts and foreign shares traded over the counter), 96 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are * GLAXOSMITHKLINE PLC, * ROYAL DUTCH SHELL PLC, * NATIONAL GRID PLC.
- * GLAXOSMITHKLINE PLC: Country of operation —; Class SPONSORED ADR; Shares 187,378; Value $8,081,000.
- * ROYAL DUTCH SHELL PLC: Country of operation —; Class SPONS ADR A; Shares 124,675; Value $6,245,000.
- * ROYAL DUTCH SHELL PLC: Country of operation —; Class SPON ADR B; Shares 44,544; Value $2,360,000.
- * NATIONAL GRID PLC: Country of operation —; Class SPON ADR NEW; Shares 31,867; Value $2,265,000.
Form 13F-HR as filed (SEC CIK 1029730): quarter ended 2016-09-30, filed 2016-11-14. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed |
|---|---|---|---|---|---|---|
| * GLAXOSMITHKLINE PLC CUSIP 37733W105 | SPONSORED ADR | 187,378 | $8,081,000 | 2016-09-30 | 2016-11-14 | |
| * ROYAL DUTCH SHELL PLC CUSIP 780259206 | SPONS ADR A | 124,675 | $6,245,000 | 2016-09-30 | 2016-11-14 | |
| * ROYAL DUTCH SHELL PLC CUSIP 780259107 | SPON ADR B | 44,544 | $2,360,000 | 2016-09-30 | 2016-11-14 | |
| * NATIONAL GRID PLC CUSIP 636274300 | SPON ADR NEW | 31,867 | $2,265,000 | 2016-09-30 | 2016-11-14 | |
| * TATA MTRS LTD CUSIP 876568502 | SPONSORED ADR | 47,332 | $1,893,000 | 2016-09-30 | 2016-11-14 | |
| * CHINA MOBILE LIMITED CUSIP 16941M109 | SPONSORED ADR | 29,221 | $1,800,000 | 2016-09-30 | 2016-11-14 | |
| * TOTAL S A CUSIP 89151E109 | SPONSORED ADR | 36,401 | $1,738,000 | 2016-09-30 | 2016-11-14 | |
| ROYAL BK SCOTLAND GROUP PLC CUSIP 780097804 | SPON ADR F | 53,925 | $1,398,000 | 2016-09-30 | 2016-11-14 | |
| * ASTRAZENECA PLC CUSIP 046353108 | SPONSORED ADR | 29,237 | $961,000 | 2016-09-30 | 2016-11-14 | |
| * AMERICA MOVIL SAB DE CV CUSIP 02364W105 | SPON ADR L SHS | 83,759 | $958,000 | 2016-09-30 | 2016-11-14 | |
| * SHIRE PLC CUSIP 82481R106 | SPONSORED ADR | 3,354 | $650,000 | 2016-09-30 | 2016-11-14 | |
| ROYAL BK SCOTLAND GROUP PLC CUSIP 780097788 | SP ADR L RP PF | 18,431 | $463,000 | 2016-09-30 | 2016-11-14 | |
| ROYAL BK SCOTLAND GROUP PLC CUSIP 780097879 | SPON ADR SER H | 12,250 | $312,000 | 2016-09-30 | 2016-11-14 | |
| BARCLAYS BANK PLC CUSIP 06739H776 | SP ADR 7.1%PF3 | 10,302 | $266,000 | 2016-09-30 | 2016-11-14 | |
| WESTPAC BKG CORP CUSIP 961214301 | SPONSORED ADR | 10,932 | $250,000 | 2016-09-30 | 2016-11-14 | |
| * GW PHARMACEUTICALS PLC CUSIP 36197T103 | ADS | 1,774 | $235,000 | 2016-09-30 | 2016-11-14 | |
| * CNOOC LTD CUSIP 126132109 | SPONSORED ADR | 1,563 | $202,000 | 2016-09-30 | 2016-11-14 | |
| * CREDIT SUISSE GROUP CUSIP 225401108 | SPONSORED ADR | 15,259 | $201,000 | 2016-09-30 | 2016-11-14 | |
| * LUXOTTICA GROUP S P A CUSIP 55068R202 | SPONSORED ADR | 3,584 | $171,000 | 2016-09-30 | 2016-11-14 | |
| * TELEFONICA BRASIL SA CUSIP 87936R106 | SPONSORED ADR | 11,023 | $160,000 | 2016-09-30 | 2016-11-14 | |
| AVIVA PLC CUSIP 05382A104 | ADR | 10,147 | $116,000 | 2016-09-30 | 2016-11-14 | |
| * SK TELECOM LTD CUSIP 78440P108 | South Korea | SPONSORED ADR | 5,061 | $112,000 | 2016-09-30 | 2016-11-14 |
| * BHP BILLITON PLC CUSIP 05545E209 | SPONSORED ADR | 3,662 | $111,000 | 2016-09-30 | 2016-11-14 | |
| * LINE CORP CUSIP 53567X101 | SPONSORED ADR | 2,275 | $110,000 | 2016-09-30 | 2016-11-14 | |
| HSBC HLDGS PLC CUSIP 404280604 | ADR A 1/40PF A | 4,145 | $106,000 | 2016-09-30 | 2016-11-14 | |
| RELX NV CUSIP 75955B102 | SPONSORED ADR | 5,985 | $106,000 | 2016-09-30 | 2016-11-14 | |
| * BT GROUP PLC CUSIP 05577E101 | ADR | 3,913 | $99,000 | 2016-09-30 | 2016-11-14 | |
| * TIM PARTICIPACOES S A CUSIP 88706P205 | SPONSORED ADR | 5,678 | $69,000 | 2016-09-30 | 2016-11-14 | |
| * PETROCHINA CO LTD CUSIP 71646E100 | SPONSORED ADR | 1,016 | $68,000 | 2016-09-30 | 2016-11-14 | |
| * CPFL ENERGIA S A CUSIP 126153105 | SPONSORED ADR | 4,516 | $67,000 | 2016-09-30 | 2016-11-14 | |
| * CRH PLC CUSIP 12626K203 | ADR | 2,016 | $67,000 | 2016-09-30 | 2016-11-14 | |
| * SYNGENTA AG CUSIP 87160A100 | SPONSORED ADR | 619 | $55,000 | 2016-09-30 | 2016-11-14 | |
| NATIONAL WESTMINSTER BK PLC CUSIP 638539882 | SPON ADR C | 2,100 | $54,000 | 2016-09-30 | 2016-11-14 | |
| * RANDGOLD RES LTD CUSIP 752344309 | ADR | 473 | $47,000 | 2016-09-30 | 2016-11-14 | |
| BIOLINERX LTD CUSIP 09071M106 | SPONSORED ADR | 40,000 | $46,000 | 2016-09-30 | 2016-11-14 | |
| * STATOIL ASA CUSIP 85771P102 | SPONSORED ADR | 2,648 | $45,000 | 2016-09-30 | 2016-11-14 | |
| * MAZOR ROBOTICS LTD CUSIP 57886P103 | SPONSORED ADS | 1,489 | $39,000 | 2016-09-30 | 2016-11-14 | |
| AMERICA MOVIL SAB DE CV CUSIP 02364W204 | SPON ADR A SHS | 3,236 | $37,000 | 2016-09-30 | 2016-11-14 | |
| * SINOPEC SHANGHAI PETROCHEMIC CUSIP 82935M109 | SPON ADR H | 700 | $36,000 | 2016-09-30 | 2016-11-14 | |
| * ANGLOGOLD ASHANTI LTD CUSIP 035128206 | SPONSORED ADR | 1,907 | $31,000 | 2016-09-30 | 2016-11-14 | |
| * VOXELJET AG CUSIP 92912L107 | ADS | 6,600 | $31,000 | 2016-09-30 | 2016-11-14 | |
| * ADVANCED SEMICONDUCTOR ENGR CUSIP 00756M404 | SPONSORED ADR | 4,398 | $26,000 | 2016-09-30 | 2016-11-14 | |
| * MOBILE TELESYSTEMS PJSC CUSIP 607409109 | SPONSORED ADR | 2,993 | $23,000 | 2016-09-30 | 2016-11-14 | |
| * CRITEO S A CUSIP 226718104 | SPONS ADS | 616 | $22,000 | 2016-09-30 | 2016-11-14 | |
| * CHINA LODGING GROUP LTD CUSIP 16949N109 | SPONSORED ADR | 462 | $21,000 | 2016-09-30 | 2016-11-14 | |
| * HUANENG PWR INTL INC CUSIP 443304100 | SPON ADR H SHS | 685 | $17,000 | 2016-09-30 | 2016-11-14 | |
| * FLY LEASING LTD CUSIP 34407D109 | SPONSORED ADR | 1,349 | $16,000 | 2016-09-30 | 2016-11-14 | |
| * INTERCONTINENTAL HOTELS GROU CUSIP 45857P608 | SPON ADR NW 2016 | 368 | $16,000 | 2016-09-30 | 2016-11-14 | |
| * CHINA PETE & CHEM CORP CUSIP 16941R108 | SPON ADR H SHS | 211 | $15,000 | 2016-09-30 | 2016-11-14 | |
| * TRINA SOLAR LIMITED CUSIP 89628E104 | SPON ADR | 1,500 | $15,000 | 2016-09-30 | 2016-11-14 | |
| * ENERSIS AMERICAS SA CUSIP 29274F104 | SPONSORED ADR | 1,276 | $10,000 | 2016-09-30 | 2016-11-14 | |
| * NTT DOCOMO INC CUSIP 62942M201 | SPONS ADR | 355 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * AIXTRON SE CUSIP 009606104 | SPONSORED ADR | 1,510 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * CHINA TELECOM CORP LTD CUSIP 169426103 | SPON ADR H SHS | 175 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * FLAMEL TECHNOLOGIES SA CUSIP 338488109 | SPONSORED ADR | 689 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * SIBANYE GOLD LTD CUSIP 825724206 | SPONSORED ADR | 599 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * XINYUAN REAL ESTATE CO LTD CUSIP 98417P105 | SPONS ADR | 1,436 | $9,000 | 2016-09-30 | 2016-11-14 | |
| * NQ MOBILE INC CUSIP 64118U108 | ADR REPSTG CL A | 2,000 | $8,000 | 2016-09-30 | 2016-11-14 | |
| * CHINA UNICOM (HONG KONG) LTD CUSIP 16945R104 | SPONSORED ADR | 648 | $8,000 | 2016-09-30 | 2016-11-14 | |
| VIDEOCON D2H LTD CUSIP 92657J101 | ADR | 769 | $8,000 | 2016-09-30 | 2016-11-14 | |
| * NEW ORIENTAL ED & TECH GRP I CUSIP 647581107 | SPON ADR | 160 | $7,000 | 2016-09-30 | 2016-11-14 | |
| * CHINA LIFE INS CO LTD CUSIP 16939P106 | SPON ADR REP H | 433 | $6,000 | 2016-09-30 | 2016-11-14 | |
| * ROYAL BK SCOTLAND GROUP PLC CUSIP 780097689 | SPONS ADR 2 ORD | 1,190 | $6,000 | 2016-09-30 | 2016-11-14 | |
| * GENETIC TECHNOLOGIES LTD CUSIP 37185R208 | SPON ADR 150SHS | 2,750 | $5,000 | 2016-09-30 | 2016-11-14 | |
| * MOMO INC CUSIP 60879B107 | ADR | 200 | $5,000 | 2016-09-30 | 2016-11-14 | |
| * WNS HOLDINGS LTD CUSIP 92932M101 | SPON ADR | 151 | $5,000 | 2016-09-30 | 2016-11-14 | |
| * VIMPELCOM LTD CUSIP 92719A106 | SPONSORED ADR | 1,285 | $4,000 | 2016-09-30 | 2016-11-14 | |
| * AU OPTRONICS CORP CUSIP 002255107 | SPONSORED ADR | 857 | $3,000 | 2016-09-30 | 2016-11-14 | |
| * ALUMINUM CORP CHINA LTD CUSIP 022276109 | SPON ADR H SHS | 320 | $3,000 | 2016-09-30 | 2016-11-14 | |
| * FIBRIA CELULOSE S A CUSIP 31573A109 | SP ADR REP COM | 455 | $3,000 | 2016-09-30 | 2016-11-14 | |
| * GUANGSHEN RY LTD CUSIP 40065W107 | SPONSORED ADR | 101 | $3,000 | 2016-09-30 | 2016-11-14 | |
| * HANWHA Q CELL CO LTD CUSIP 41135V301 | SPONSORED ADR NE | 150 | $2,000 | 2016-09-30 | 2016-11-14 | |
| * PHOENIX NEW MEDIA LTD CUSIP 71910C103 | SPONSORED ADS | 500 | $2,000 | 2016-09-30 | 2016-11-14 | |
| * ACTIONS SEMICONDUCTOR CO LTD CUSIP 00507E107 | ADR | 1,000 | $2,000 | 2016-09-30 | 2016-11-14 | |
| * AMARIN CORP PLC CUSIP 023111206 | SPONS ADR NEW | 770 | $2,000 | 2016-09-30 | 2016-11-14 | |
| LUXFER HLDGS PLC CUSIP 550678106 | SPONSORED ADR | 131 | $2,000 | 2016-09-30 | 2016-11-14 | |
| * TRINITY BIOTECH PLC CUSIP 896438306 | SPON ADR NEW | 150 | $2,000 | 2016-09-30 | 2016-11-14 | |
| * BITAUTO HLDGS LTD CUSIP 091727107 | SPONSORED ADS | 50 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * CNINSURE INC CUSIP 18976M103 | SPONSORED ADR | 86 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * EMPRESA NACIONAL DE ELCTRCID CUSIP 29244T101 | SPONSORED ADR | 56 | $1,000 | 2016-09-30 | 2016-11-14 | |
| ENDESA AMERS SA CUSIP 29261D104 | SPON ADR | 53 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * FANG HLDGS LTD CUSIP 30711Y102 | ADR | 185 | $1,000 | 2016-09-30 | 2016-11-14 | |
| MESOBLAST LTD CUSIP 590717104 | SPONS ADR | 230 | $1,000 | 2016-09-30 | 2016-11-14 | |
| SUMMIT THERAPEUTICS PLC CUSIP 86627R102 | SPONS ADS | 100 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * PARTNER COMMUNICATIONS CO LT CUSIP 70211M109 | ADR | 311 | $1,000 | 2016-09-30 | 2016-11-14 | |
| TARENA INTL INC CUSIP 876108101 | ADR | 74 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * PRANA BIOTECHNOLOGY LTD CUSIP 739727204 | SPON ADR NEW | 200 | $1,000 | 2016-09-30 | 2016-11-14 | |
| * AMEC FOSTER WHEELER PLC CUSIP 00167X205 | SPONSORED ADR | 44 | $0 | 2016-09-30 | 2016-11-14 | |
| * CHANGYOU COM LTD CUSIP 15911M107 | ADS REP CL A | 11 | $0 | 2016-09-30 | 2016-11-14 | |
| COMPANHIA ENERGETICA DE MINA CUSIP 204409882 | SPONSORED ADR | 100 | $0 | 2016-09-30 | 2016-11-14 | |
| INDUSTRIAS BACHOCO S A B DE CUSIP 456463108 | SPON ADR B | 7 | $0 | 2016-09-30 | 2016-11-14 | |
| * MECHEL PAO CUSIP 583840608 | SPONSORED ADR NE | 107 | $0 | 2016-09-30 | 2016-11-14 | |
| MARINE HARVEST ASA CUSIP 56824R205 | SPONSORED ADR | 19 | $0 | 2016-09-30 | 2016-11-14 | |
| * SIFY TECHNOLOGIES LIMITED CUSIP 82655M107 | SPONSORED ADR | 8 | $0 | 2016-09-30 | 2016-11-14 | |
| * SAMSON OIL & GAS LTD CUSIP 796043206 | SPON ADR NEW | 133 | $0 | 2016-09-30 | 2016-11-14 | |
| * RENREN INC CUSIP 759892102 | SPONSORED ADR | 200 | $0 | 2016-09-30 | 2016-11-14 |
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