Dark
Light
System
Security
GALENA BIOPHARMA INC
GALENA BIOPHARMA INC. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 108 Institutional holders with a total value of $14,160,862.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CWM, LLC 500 0 0.00%
2 Brick & Kyle, Associates 755 0 0.00%
3 NEXT Financial Group, Inc 500 0 0.00%
4 UBS Group AG 1,300 0 0.00%
5 SIGNATUREFD, LLC 54 0 0.00%
6 FIFTH THIRD BANCORP 750 0 0.00%
7 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 858 0 0.00%
8 BANK OF MONTREAL /CAN/ 300 0 0.00% Call
9 JNBA Financial Advisors 54 0 0.00%
10 MSI Financial Services Inc 1,090 0 0.00%
11 WEALTHPLAN PARTNERS, LLC 564 181 0.00%
12 VALLEY NATIONAL ADVISERS INC 2,574 1,000 0.01%
13 Cubist Systematic Strategies, LLC 2,226 1,000 0.01%
14 BARCLAYS PLC 1,700 1,000 0.01%
15 IFP ADVISORS, INC 2,253 1,000 0.01%
16 CITIGROUP INC 2,000 1,000 0.01% Call
17 STRS OHIO 7,300 2,000 0.01%
18 Spot Trading L.L.C 5,650 2,000 0.01%
19 ROYAL BANK OF CANADA 8,750 3,000 0.02%
20 Nuveen Asset Management, LLC 12,136 4,000 0.03%
21 BANK OF AMERICA CORP /DE/ 9,839 4,000 0.03%
22 BUCKHEAD CAPITAL MANAGEMENT LLC 10,640 4,000 0.03%
23 COMMERZBANK AKTIENGESELLSCHAFT /FI 10,658 4,000 0.03%
24 D. E. Shaw & Co., Inc. 10,097 4,000 0.03%
25 RAYMOND JAMES & ASSOCIATES 10,500 4,000 0.03%
26 COMERICA BANK 11,500 4,000 0.03%
27 Fisher Asset Management, LLC 11,329 4,000 0.03%
28 BlackRock Finance, Inc. 12,812 4,000 0.03%
29 LPL Financial LLC 11,674 4,000 0.03%
30 BNP PARIBAS FINANCIAL MARKETS 13,266 4,643 0.03%
31 ADVISOR GROUP, INC. 15,262 5,000 0.04%
32 Concert Wealth Management Inc. 14,961 5,000 0.04%
33 Aspen Investment Management Inc 15,000 5,000 0.04%
34 Ameritas Investment Partners, Inc. 14,289 5,000 0.04%
35 COMPTON CAPITAL MANAGEMENT INC /RI 15,000 5,000 0.04%
36 Spot Trading L.L.C 13,100 5,000 0.04% Call
37 BANK OF MONTREAL /CAN/ 15,000 5,000 0.04% Put
38 BANK OF MONTREAL /CAN/ 15,930 5,000 0.04%
39 Creative Planning 15,100 5,000 0.04%
40 SIMPLEX TRADING, LLC 18,771 6,000 0.04%
41 PRUDENTIAL FINANCIAL INC 16,680 6,000 0.04%
42 AMALGAMATED BANK 19,454 7,000 0.05%
43 CUTLER GROUP LLC / CA 20,014 7,000 0.05%
44 WELLS FARGO & COMPANY/MN 185,200 7,000 0.05% Call
45 ProShare Advisors LLC 20,894 7,000 0.05%
46 MILLENNIUM MANAGEMENT LLC 22,500 8,000 0.06%
47 Legal & General Group Plc 23,219 8,000 0.06%
48 ACG Wealth 25,000 9,000 0.06%
49 Mirador Capital Partners LP 29,195 10,000 0.07%
50 PRINCIPAL FINANCIAL GROUP INC 31,755 11,000 0.08%
Page 1 of 3

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.