Dark
Light
System
Security
BALLARD PWR SYS INC NEW
BALLARD PWR SYS INC NEW. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 75 Institutional holders with a total value of $19,811,259.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 IFP ADVISORS, INC 58 0 0.00%
2 Hudock, Inc. 300 0 0.00%
3 JPMORGAN CHASE & CO 147 0 0.00%
4 Tradewinds Capital Management, LLC 20 0 0.00%
5 DUNCKER STREETT & CO INC 150 0 0.00%
6 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 10 0 0.00%
7 Johnson Financial Group, Inc. 200 0 0.00%
8 BlackRock Finance, Inc. 75 0 0.00%
9 ASSET PLANNING SERVICES, LTD. 100 0 0.00%
10 CUTLER GROUP LLC / CA 10 0 0.00%
11 1832 Asset Management L.P. 100 0 0.00%
12 Financial Architects, Inc 500 1,000 0.01%
13 WELLS FARGO & COMPANY/MN 353 1,000 0.01%
14 HOWE & RUSLING INC 450 1,000 0.01%
15 ADVANTAGE INVESTMENT MANAGEMENT, LLC 440 1,000 0.01%
16 Carroll Financial Associates, Inc. 600 1,000 0.01%
17 TORONTO DOMINION BANK 496 1,000 0.01%
18 SHELL ASSET MANAGEMENT CO 546 2,000 0.01%
19 GENEOS WEALTH MANAGEMENT INC. 1,600 3,000 0.02%
20 MSI Financial Services Inc 1,540 3,000 0.02%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,728 6,000 0.03%
22 Barnett & Company, Inc. 2,600 6,000 0.03%
23 FNY Managed Accounts LLC 1,500 7,500 0.04% Call
24 ADVISOR GROUP, INC. 3,600 8,000 0.04%
25 WESPAC ADVISORS SOCAL, LLC 4,400 9,724 0.05%
26 BARCLAYS PLC 4,500 10,000 0.05% Put
27 UBS Group AG 5,833 13,000 0.07%
28 GOLDMAN SACHS GROUP INC 6,900 15,000 0.08% Call
29 ACROSPIRE INVESTMENT MANAGEMENT LLC 7,800 17,000 0.09%
30 Creative Planning 9,344 21,000 0.11%
31 WOLVERINE ASSET MANAGEMENT LLC 10,000 22,000 0.11% Put
32 WOLVERINE TRADING LP /BD 11,471 24,000 0.12%
33 US BANCORP \DE\ 11,300 25,000 0.13%
34 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,700 26,000 0.13% Call
35 Tower Research Capital LLC (TRC) 12,188 27,000 0.14%
36 Spot Trading L.L.C 16,600 37,000 0.19% Call
37 WOLVERINE TRADING LP /BD 18,700 39,000 0.20% Put
38 Sageworth Trust Co 20,000 44,000 0.22%
39 TWO SIGMA SECURITIES, LLC 20,913 46,000 0.23%
40 MORGAN STANLEY 22,517 50,000 0.25%
41 CITADEL ADVISORS LLC 28,800 64,000 0.32% Put
42 WOLVERINE TRADING LP /BD 32,700 69,000 0.35% Call
43 JANE STREET GROUP, LLC 31,423 69,000 0.35%
44 CWA ASSET MANAGEMENT GROUP, LLC 33,500 74,035 0.37%
45 BANK OF AMERICA CORP /DE/ 35,649 79,000 0.40%
46 CITADEL ADVISORS LLC 37,600 83,000 0.42% Call
47 WOLVERINE ASSET MANAGEMENT LLC 49,000 108,000 0.55%
48 BARCLAYS PLC 52,000 115,000 0.58% Call
49 BANK OF MONTREAL /CAN/ 55,074 121,000 0.61%
50 Commonwealth Equity Services, Inc 58,550 129,000 0.65%
Page 1 of 2

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.