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H&Q Life Sciences Invt
H&Q Life Sciences Invt . Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 54 Institutional holders with a total value of $73,946,723.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEEDHAM INVESTMENT MANAGEMENT LLC 610,124 12,666,000 17.13%
2 MORGAN STANLEY 511,142 10,611,000 14.35%
3 SIT INVESTMENT ASSOCIATES INC 397,457 8,251,000 11.16%
4 Advisors Asset Management, Inc. 353,406 7,337,000 9.92%
5 WELLS FARGO & COMPANY/MN 311,677 6,470,000 8.75%
6 Yakira Capital Management, Inc. 300,878 6,246,000 8.45% SH
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 226,719 4,707,000 6.37%
8 Weiss Asset Management LP 108,203 2,246,000 3.04%
9 CREDIT SUISSE AG/ 94,101 1,953,000 2.64%
10 Bulldog Investors, LLP 89,615 1,860,000 2.52%
11 TFS CAPITAL LLC 77,090 1,600,000 2.16%
12 LPL Financial LLC 52,900 1,098,000 1.48%
13 RAYMOND JAMES & ASSOCIATES 38,353 796,000 1.08%
14 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 37,894 787,000 1.06%
15 UBS AG 36,102 750,000 1.01%
16 AMERICAN INTERNATIONAL GROUP, INC. 33,031 685,723 0.93%
17 Commonwealth Equity Services, Inc 30,767 639,000 0.86%
18 OPPENHEIMER & CO INC 26,460 550,000 0.74%
19 NORTH STAR ASSET MANAGEMENT INC 26,041 541,000 0.73%
20 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 23,670 492,000 0.67%
21 ROYAL BANK OF CANADA 19,147 397,000 0.54%
22 Karpus Management, Inc. 17,500 363,000 0.49%
23 MERIDIAN INVESTMENT COUNSEL INC. 14,413 299,000 0.40%
24 Cypress Capital Group 12,140 252,000 0.34%
25 STIFEL FINANCIAL CORP 12,050 250,000 0.34%
26 USCA RIA LLC 11,520 239,000 0.32%
27 New England Private Wealth Advisors LLC 10,797 225,000 0.30%
28 Virtu KCG Holdings LLC 10,665 221,000 0.30%
29 NATIONAL PLANNING CORP 10,511 218,000 0.29%
30 CSS LLC/IL 10,488 218,000 0.29%
31 AMERIPRISE FINANCIAL INC 10,363 215,000 0.29%
32 PNC FINANCIAL SERVICES GROUP, INC. 8,529 177,000 0.24%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 7,331 152,000 0.21%
34 BANK OF AMERICA CORP /DE/ 4,628 96,000 0.13%
35 Tower Research Capital LLC (TRC) 2,285 47,000 0.06%
36 Thomas J. Herzfeld Advisors, Inc. 1,864 39,000 0.05%
37 Creative Planning 1,404 29,000 0.04%
38 Cordasco Financial Network 1,301 27,000 0.04%
39 MSI Financial Services Inc 1,184 25,000 0.03%
40 FIFTH THIRD BANCORP 1,064 22,000 0.03%
41 North Star Investment Management Corp. 1,010 21,000 0.03%
42 SeaBridge Investment Advisors LLC 956 20,000 0.03%
43 Regal Investment Advisors LLC 931 19,000 0.03%
44 ROCKEFELLER FINANCIAL SERVICES INC 825 17,000 0.02%
45 CITIGROUP INC 803 17,000 0.02%
46 Focused Wealth Management, Inc 753 16,000 0.02%
47 CENTRAL BANK & TRUST CO 684 14,000 0.02%
48 NEXT Financial Group, Inc 510 11,000 0.01%
49 MARK SHEPTOFF FINANCIAL PLANNING, LLC 465 10,000 0.01%
50 BOSTON PRIVATE BANK & TRUST CO 183 4,000 0.01%
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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.