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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
4151 Bank of America Corp Warrants Exp 01/16/19 10,000 46,000 0.00%
4152 SPARK NETWORKS INC 28,731 45,000 0.00%
4153 PARKERVISION INC 10,718 45,000 0.00%
4154 CESCA THERAPEUTICS INC COM NEW 11,299 44,000 0.00%
4155 TOKAI PHARMACEUTICALS INC COM 28,710 44,000 0.00%
4156 PETROQUEST ENERGY INC 12,270 43,000 0.00%
4157 VERASTEM INC 32,488 43,000 0.00%
4158 ALIMERA SCIENCES INC 28,838 43,000 0.00%
4159 ARRHYTHMIA RESEARCH TECHNOLOGY ORD 10,365 43,000 0.00%
4160 DASAN ZHONE SOLUTIONS INC 37,745 43,000 0.00%
4161 HUDBAY MINERALS INC 10,709 42,000 0.00%
4162 U S ENERGY CORP WYO 24,526 42,000 0.00%
4163 MEI PHARMA INC 23,445 41,000 0.00%
4164 SUNWORKS INC 15,956 41,000 0.00%
4165 HARVEST NATURAL RESOURCES IN 50,981 41,000 0.00%
4166 IBIO INC COM 73,591 40,000 0.00%
4167 EGAIN CORP 12,843 40,000 0.00%
4168 CUMULUS MEDIA INC 122,383 40,000 0.00%
4169 THESTREET INC 34,782 38,000 0.00%
4170 BRAINSTORM CELL THERAPEUTICS 15,741 38,000 0.00%
4171 GOLDEN MINERALS CO 50,830 38,000 0.00%
4172 UNILIFE CORP NEW 16,942 36,000 0.00%
4173 FUEL TECH INC 25,881 36,000 0.00%
4174 NEURALSTEM INC COM 111,748 35,000 0.00%
4175 MAGNEGAS CORP 53,556 35,000 0.00%
4176 PENGROWTH ENERGY CORP 21,985 35,000 0.00%
4177 MOSYS INC 46,728 35,000 0.00%
4178 CYMABAY THERAPEUTICS INC 18,283 35,000 0.00%
4179 ADAMIS PHARMACEUTICALS CORP 10,050 34,000 0.00%
4180 UQM TECHNOLOGIES INC COM 55,840 34,000 0.00%
4181 ATLANTICUS HLDGS CORP 11,150 33,000 0.00%
4182 CHIASMA INC 11,195 33,000 0.00%
4183 INTERSECTIONS INC COM 18,840 33,000 0.00%
4184 NORTHWEST BIOTHERAPEUTICS 60,405 33,000 0.00%
4185 FEMALE HEALTH CO 26,657 32,000 0.00%
4186 IMATION CORP 50,186 32,000 0.00%
4187 JASON INDS INC 13,915 31,000 0.00%
4188 EMERSON RADIO CORP NEW 3/94 29,245 30,000 0.00%
4189 AVIRAGEN THERAPEUTICS INC 15,789 30,000 0.00%
4190 WESTELL TECHNOLOGIES INC 58,337 30,000 0.00%
4191 ENPHASE ENERGY INC 25,146 30,000 0.00%
4192 CELSION CORPORATION COM PAR 24,959 30,000 0.00%
4193 TRANSATLANTIC PETROLEUM LTD 23,830 29,000 0.00%
4194 PERFUMANIA HLDGS INC 13,338 29,000 0.00%
4195 AMEDICA CORP 31,721 29,000 0.00%
4196 WIRELESS TELECOM GROUP INC 17,097 29,000 0.00%
4197 WIDEPOINT CORP 67,472 29,000 0.00%
4198 NEONODE INC 24,648 28,000 0.00%
4199 AOXING PHARMACEUTICAL CO INC 50,592 28,000 0.00%
4200 CONTRAVIR PHARMACEUTICALS IN 24,433 27,000 0.00%
Page 84 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.