Overview Financials News + Filings Key Docs Charts Holdings Ownership Insiders
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| In millions, except per share items | Mar-31-17 | Dec-31-16 | Sep-30-16 | Jun-30-16 | Mar-31-16 | Dec-31-15 | Sep-30-15 | Jun-30-15 |
| | 10-Q | 10-K | 10-Q | 10-Q | 10-Q | 10-K | 10-Q | 10-Q |
| Assets | | | | | | | | |
| Cash and cash equivalents | 75.8 | 75.0 | 53.5 | 51.3 | 52.8 | 70.1 | 64.2 | 71.2 |
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| Receivables: | | | | | | | | |
| Securities borrowed | 910.1 | 897.3 | 819.3 | 969.0 | 849.9 | 685.0 | 760.2 | 683.3 |
| Due from brokers, dealers and clearing organizations | 13.0 | 4.8 | 5.5 | 5.9 | 11.0 | 5.5 | 89.3 | 323.9 |
| Customers | 5.4 | 2.8 | 5.9 | 4.4 | 1.5 | 1.4 | 3.7 | 2.9 |
| Other | 3.8 | 4.3 | 3.6 | 3.2 | 6.4 | 5.9 | 7.8 | 5.9 |
| Financial instruments owned, at fair value | 24.9 | 32.4 | 44.4 | 47.6 | 69.3 | 94.9 | 115.7 | 120.9 |
| Goodwill and intangible assets | 4.4 | 4.5 | 4.6 | 6.0 | 6.1 | 6.3 | 5.9 | 4.7 |
| Furniture, equipment, software, and leasehold improvements, net of accumulated depreciation and amortization | 12.0 | 12.6 | 13.3 | 13.9 | 14.5 | 15.1 | 15.4 | 15.2 |
| Prepaid expenses and other assets | 3.9 | 4.1 | 3.5 | 6.0 | 5.4 | 5.2 | 5.2 | 5.4 |
| Total assets | 1,053.3 | 1,037.9 | 953.6 | 1,159.5 | 1,068.0 | 933.4 | 1,105.9 | 1,269.0 |
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| Liabilities and Shareholders’ Equity | | | | | | | | |
| Liabilities | | | | | | | | |
| Securities loaned | 913.3 | 892.3 | 819.9 | 968.7 | 850.5 | 687.4 | 759.4 | 685.3 |
| Accrued compensation and benefits | 5.8 | 12.3 | 5.3 | 2.8 | 3.5 | 13.3 | 19.6 | 20.7 |
| Accounts payable, accrued expenses and other liabilities | 17.8 | 15.9 | 14.8 | 15.3 | 17.4 | 19.9 | 21.5 | 27.6 |
| Total liabilities | 936.8 | 920.5 | 840.0 | 986.8 | 873.5 | 722.6 | 883.0 | 1,034.1 |
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| Commitments and Contingencies (Note 8) | | | | | | | | |
| Shareholders’ equity | | | | | | | | |
| Common stock | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Additional paid-in capital | 255.9 | 252.3 | 253.5 | 255.0 | 263.5 | 259.0 | 266.9 | 277.5 |
| Restricted stock units | 9.0 | 14.8 | 14.7 | 15.1 | 20.1 | 35.9 | 35.8 | 33.7 |
| Accumulated deficit | -148.4 | -149.7 | -154.7 | -97.3 | -89.1 | -84.2 | -79.8 | -76.3 |
| Total shareholders’ equity | 116.5 | 117.4 | 113.5 | 172.7 | 194.5 | 210.8 | 223.0 | 234.9 |
| Total liabilities and shareholders’ equity | 1,053.3 | 1,037.9 | 953.6 | 1,159.5 | 1,068.0 | 933.4 | 1,105.9 | 1,269.0 |
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