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Institutional Investment Manager
GEODE CAPITAL MANAGEMENT, LLC
GEODE CAPITAL MANAGEMENT, LLC (CIK: 0001214717) incorporated in Delaware, located at 100 Summer Street, Boston, MA. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 4,029 holdings with a total value of $198,583,700,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 GULF RESOURCES INC COM PAR $0.0005 21,283 44,000 0.00%
102 Enservco Corp 77,749 45,000 0.00%
103 AXIS CAPITAL HOLDING 15,089 45,000 0.00%
104 HALCON RES CORP 20,000 45,000 0.00%
105 Nymox Pharmaceutical Corp 14,309 46,000 0.00%
106 HTG MOLECULAR DIAGNOSTICS IN 19,859 46,000 0.00%
107 AMERISERV FINL INC 14,728 48,000 0.00%
108 RXI PHARMACEUTICALS CORP NEW 26,638 48,000 0.00%
109 VANGUARD NAT RES LLC 54,174 49,000 0.00%
110 GENERAL FIN CORP DEL 11,039 49,000 0.00%
111 EMERSON RADIO CORP NEW 3/94 48,121 49,000 0.00%
112 PENN WEST 27,877 50,000 0.00%
113 ARCADIA BIOSCIENCES INC 26,228 50,000 0.00%
114 BIODEL INC 117,056 50,000 0.00%
115 CHANTICLEER HLDGS INC 92,136 50,000 0.00%
116 SOLITARIO EXPL & RTY CORP COM 75,942 50,000 0.00%
117 DIVERSIFIED RESTAURANT 44,488 51,000 0.00%
118 ImmunoCellular Therapeutics Lt 439,847 51,000 0.00%
119 TRANSGLOBE ENERGY CORP 25,863 51,000 0.00%
120 ZAIS GROUP HLDGS INC 22,211 51,000 0.00%
121 WPCS INTL INC COM PAR $.0001 N 40,159 52,000 0.00%
122 Presbia, PLC (Ireland) 11,158 52,000 0.00%
123 JRJR33 INC 44,389 53,000 0.00%
124 CLEAN DIESEL TECHNOLOGIES INC COM PAR NEW 15,170 55,000 0.00%
125 STEMCELLS INC COM 40,550 55,000 0.00%
126 PHOENIX NEW MEDIA LTD SPONSORED ADS 14,277 55,000 0.00%
127 EV Energy Partners, L.P. 23,128 55,000 0.00%
128 SYPRIS SOLUTIONS INC COM 54,496 56,000 0.00%
129 Charles & Colvard 49,187 57,000 0.00%
130 VBI VACCINES INC COM NEW 16,535 57,000 0.00%
131 DEXTERA SURGICAL 30,894 58,000 0.00%
132 OCULUS INNOVATIVE SCIENCES I 13,437 58,000 0.00%
133 CHINA AUTOMOTIVE SYS I COM 14,356 59,000 0.00%
134 Royal Bancshares of Pennsylvania, Inc. 25,667 60,000 0.00%
135 PARAMOUNT GOLD NEV CORP 30,702 61,000 0.00%
136 KAMADA LTD 12,009 61,000 0.00%
137 CINEDIGM CORP 32,107 62,000 0.00%
138 SIGMATRON INTL INC 11,463 62,000 0.00%
139 PLURISTEM THERAPEUTICS INC 39,159 62,000 0.00%
140 UNITED STATES ANTIMONY CORP 139,769 63,000 0.00%
141 ALLIQUA BIOMEDICAL INC 81,103 63,000 0.00%
142 MEMORIAL PRODTN PARTNERS 36,646 65,000 0.00%
143 INSIGNIA SYS INC 28,672 67,000 0.00%
144 OpGen Inc 41,093 67,000 0.00%
145 NATIONAL AMERN UNIV HLDGS IN 32,119 67,000 0.00%
146 IMMUNE PHARMACEUTICALS INC 242,723 67,000 0.00%
147 IMPRIMIS PHARMACEUTICALS INC 17,617 67,000 0.00%
148 TONIX PHARMACEUTICALS HLD 101,446 70,000 0.00%
149 SPANISH BROADCASTING SYS INC 18,498 70,000 0.00%
150 SKULLCANDY INC 11,289 71,000 0.00%
Page 3 of 81

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001214717-16-000019, filed 2016.11.10).

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.