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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 (2016Q4)
Portfolio Summary: 3,074 holdings with a total value of $91,336,659,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 TOKAI PHARMACEUTICALS INC 15,000 15,000 0.00%
2 Internap Network Services Corp 10,152 16,000 0.00%
3 GALENA BIOPHARMA INCORPORATED COM NEW 13,250 26,000 0.00%
4 ArQule Inc 21,000 27,000 0.00%
5 AVIRAGEN THERAPEUTICS INC 26,016 32,000 0.00%
6 ANTHERA PHARMACEUTICALS I 51,939 34,000 0.00%
7 FIVE STAR QUALITY CARE INC COM 14,335 39,000 0.00%
8 CYTRX CORP 126,000 47,000 0.00%
9 DIMENSION THERAPEUTICS INC COM 13,100 57,000 0.00%
10 HARVARD BIOSCIENCE INC 19,300 59,000 0.00%
11 CORINDUS VASCULAR ROBOTICS I COM 84,000 59,000 0.00%
12 AMPIO PHARMACEUTICALS INC 70,600 64,000 0.00%
13 AVINGER INC 17,500 65,000 0.00%
14 PRGX GLOBAL INC 11,000 65,000 0.00%
15 NOODLES AND CO CL A 17,398 72,000 0.00%
16 Syndax Pharmaceuticals Inc 10,100 73,000 0.00%
17 APTEVO THERAPEUTICS INC COM 30,050 74,000 0.00%
18 PATRIOT NATL INC 15,800 74,000 0.00%
19 TROVAGENE INC COM NEW 35,347 75,000 0.00%
20 Agile Therapeutics, Inc. 13,462 77,000 0.00%
21 ADVERUM BIOTECHNOLOGIES INC 28,209 82,000 0.00%
22 COGINT INC 24,100 84,000 0.00%
23 MIRATI THERAPEUTICS INC COM 18,048 86,000 0.00%
24 OVASCIENCE INC COM 56,701 87,000 0.00%
25 A H BELO CORP COM CL A 13,980 89,000 0.00%
26 IMMUNE DESIGN CORP COM 16,243 90,000 0.00%
27 Cambium Learning Group Inc 18,000 90,000 0.00%
28 SYNTHETIC BIOLOGICS INC 118,100 91,000 0.00%
29 INFINITY PHARMACEUTICALS INC COM 67,500 92,000 0.00%
30 SECOND SIGHT MED PRODS INC COM 46,657 92,000 0.00%
31 AGROFRESH SOLUTIONS COM 35,000 93,000 0.00%
32 LIPOCINE INC NEW 26,100 97,000 0.00%
33 VIVINT SOLAR INC 38,455 99,000 0.00%
34 KADMON HLDGS INC 18,500 99,000 0.00%
35 COMSTOCK RES INC 10,160 101,000 0.00%
36 FLEX PHARMA INC COM 19,700 105,000 0.00%
37 TOWNSQUARE MEDIA INC 10,100 106,000 0.00%
38 GLOBAL SOURCES LTD 12,000 107,000 0.00%
39 ARGOS THERAPEUTICS INC 22,200 109,000 0.00%
40 Nova Lifestyle Inc 57,200 111,000 0.00%
41 T2 BIOSYSTEMS INC 21,600 114,000 0.00%
42 LIFEWAY FOODS INC 10,100 117,000 0.00%
43 AXSOME THERAPEUTICS INC 17,700 120,000 0.00%
44 RADIO ONE INC CL D NON VTG 41,200 120,000 0.00%
45 GLYCOMIMETICS INC 19,600 120,000 0.00%
46 TITAN PHARMACEUTICALS INC DE COM NEW 30,100 121,000 0.00%
47 TANDEM DIABETES CARE INC 56,765 123,000 0.00%
48 USA TRUCK INC COM 14,200 124,000 0.00%
49 Clearside Biomedical Inc 14,000 126,000 0.00%
50 ALJ REGIONAL HOLDINGS INC 28,500 126,000 0.00%
Page 1 of 62

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001085146-17-000565, filed 2017.02.13).

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.