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Institutional Investment Manager
CHARLES SCHWAB INVESTMENT MANAGEMENT INC
CHARLES SCHWAB INVESTMENT MANAGEMENT INC (CIK: 0000884546) incorporated in Delaware, located at 9800 Schwab Way, Lone Tree, CO. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 3,035 holdings with a total value of $85,064,564,000.
#
Name
Shares
Value ($)
%
Options
Notes
3001 LIPOCINE INC NEW 26,100 117,000 0.00%
3002 ADVERUM BIOTECHNOLOGIES INC 28,209 116,000 0.00%
3003 NCI INC 10,000 116,000 0.00%
3004 UNITED DEV FDG IV COM 44,425 114,000 0.00%
3005 UCP Inc 12,900 114,000 0.00%
3006 ARGOS THERAPEUTICS INC 22,200 111,000 0.00%
3007 INFINITY PHARMACEUTICALS INC COM 67,500 106,000 0.00%
3008 DIMENSION THERAPEUTICS INC COM 13,100 105,000 0.00%
3009 Radiant Logistics Inc 36,754 105,000 0.00%
3010 A H BELO CORP COM CL A 13,980 103,000 0.00%
3011 GLOBAL SOURCES LTD 12,000 102,000 0.00%
3012 Cambium Learning Group Inc 18,000 98,000 0.00%
3013 TOWNSQUARE MEDIA INC 10,100 95,000 0.00%
3014 NL INDS INC COM NEW 23,697 94,000 0.00%
3015 Agile Therapeutics, Inc. 13,462 94,000 0.00%
3016 CORINDUS VASCULAR ROBOTICS I COM 84,000 94,000 0.00%
3017 GALENA BIOPHARMA INC 265,000 93,000 0.00%
3018 AVINGER INC 17,500 84,000 0.00%
3019 NOODLES AND CO CL A 17,244 83,000 0.00%
3020 COMSTOCK RES INC 10,160 78,000 0.00%
3021 CYTRX CORP 126,000 75,000 0.00%
3022 ASTERIAS BIOTHERAPEUTICS INC COM SER A 15,125 65,000 0.00%
3023 HARVARD BIOSCIENCE INC 19,300 53,000 0.00%
3024 AMPIO PHARMACEUTICALS INC 70,600 53,000 0.00%
3025 PRGX GLOBAL INC 11,000 52,000 0.00%
3026 AVIRAGEN THERAPEUTICS INC 26,016 50,000 0.00%
3027 CASCADIAN THERAPEUTICS INC 25,700 43,000 0.00%
3028 BioDelivery Sciences International Inc 14,119 39,000 0.00%
3029 Internap Network Services Corp 22,428 38,000 0.00%
3030 ArQule Inc 21,000 38,000 0.00%
3031 CIBER INC 24,900 29,000 0.00%
3032 FIVE STAR QUALITY CARE INC COM 14,335 28,000 0.00%
3033 TOKAI PHARMACEUTICALS INC 15,000 23,000 0.00%
3034 QUICKLOGIC CORP 27,600 21,000 0.00%
3035 PAIN THERAPEUTICS INC 18,600 19,000 0.00%
Page 61 of 61

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001085146-16-004851, filed 2016.11.14).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.