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Institutional Investment Manager
Bank of New York Mellon Corp
Bank of New York Mellon Corp (CIK: 0001390777) incorporated in Delaware, registered under State Commercial Banks, located at 240 Greenwich Street, New York, NY. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 4,266 holdings with a total value of $336,112,645,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 Apricus Biosciences, Inc. 62,167 21,000 0.00%
52 Catalyst Biosciences 17,598 21,000 0.00%
53 BIOLINERX LTD 18,793 21,000 0.00%
54 VERSAR INC 13,963 21,000 0.00%
55 TEARLAB CORP 34,291 22,000 0.00%
56 U.S. GEOTHERMAL INC 31,824 23,000 0.00%
57 PERNIX THERAPEUTICS HLDGS IN 38,332 24,000 0.00%
58 Charles & Colvard 20,977 24,000 0.00%
59 GALECTIN THERAPEUTICS INC COM 21,171 24,000 0.00%
60 YULONG ECO MATLS LTD 10,500 24,000 0.00%
61 GENERAL MOLY 89,254 25,000 0.00%
62 STANLEY FURNITURE CO INC COM NEW 14,224 25,000 0.00%
63 CAPSTONE TURBINE CORP COM NEW 18,405 25,000 0.00%
64 Cogentix Medical Inc 14,006 25,000 0.00%
65 REXAHN PHARMACEUTICALS INC 126,014 26,000 0.00%
66 CONTRAVIR PHARMACEUTICALS IN COM 24,433 27,000 0.00%
67 GTX INC 34,454 27,000 0.00%
68 AOXING PHARMACEUTICAL CO INC 50,592 28,000 0.00%
69 NEONODE INC 24,648 28,000 0.00%
70 Widepoint Corp 67,472 29,000 0.00%
71 TRANSATLANTIC PETROLEUM LTD 23,830 29,000 0.00%
72 WIRELESS TELECOM GROUP INC 17,097 29,000 0.00%
73 PERFUMANIA HLDGS INC 13,338 29,000 0.00%
74 AMEDICA CORP 31,721 29,000 0.00%
75 CELSION CORPORATION COM PAR $0.01 24,959 30,000 0.00%
76 EMERSON RADIO CORP NEW 3/94 29,245 30,000 0.00%
77 AVIRAGEN THERAPEUTICS INC 15,789 30,000 0.00%
78 WESTELL TECHNOLOGIES INC CL A 58,337 30,000 0.00%
79 ENPHASE ENERGY INC 25,146 30,000 0.00%
80 JASON INDS INC 13,915 31,000 0.00%
81 FEMALE HEALTH CO 26,657 32,000 0.00%
82 IMATION CORP 50,186 32,000 0.00%
83 NORTHWEST BIOTHERAPEUTICS INC 60,405 33,000 0.00%
84 CHIASMA INC 11,195 33,000 0.00%
85 INTERSECTIONS INC COM 18,840 33,000 0.00%
86 ATLANTICUS HLDGS CORP 11,150 33,000 0.00%
87 UQM TECHNOLOGIES INC COM 55,840 34,000 0.00%
88 ADAMIS PHARMACEUTICALS CORP 10,050 34,000 0.00%
89 PENGROWTH ENERGY 21,985 35,000 0.00%
90 NEURALSTEM INCORPORATED 111,748 35,000 0.00%
91 MOSYS INC 46,728 35,000 0.00%
92 CymaBay Therapeutics 18,283 35,000 0.00%
93 MAGNEGAS CORP 53,556 35,000 0.00%
94 Unilife Corp 16,942 36,000 0.00%
95 FUEL TECH INCORPORATED 25,881 36,000 0.00%
96 GOLDEN MINERALS CO 50,830 38,000 0.00%
97 BRAINSTORM CELL THERAPEUTICS 15,741 38,000 0.00%
98 THESTREET INC 34,782 38,000 0.00%
99 EGAIN CORP 12,843 40,000 0.00%
100 IBIO INC COM 73,591 40,000 0.00%
Page 2 of 86

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001390777-16-000254, filed 2016.11.03).

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.