| 1 |
Tekla Capital Management LLC |
1,404,000 |
4,226,000 |
69.54% |
|
|
| 2 |
DEUTSCHE BANK AG\ |
192,676 |
579,000 |
9.53% |
|
|
| 3 |
MORGAN STANLEY |
96,638 |
291,000 |
4.79% |
|
|
| 4 |
DAFNA Capital Management LLC |
72,787 |
219,000 |
3.60% |
|
SH |
| 5 |
FIRST MIDWEST BANK TRUST DIVISION |
49,372 |
149,000 |
2.45% |
|
|
| 6 |
SUSQUEHANNA INTERNATIONAL GROUP, LLP |
42,134 |
127,000 |
2.09% |
|
|
| 7 |
SUSQUEHANNA INTERNATIONAL GROUP, LLP |
42,000 |
126,000 |
2.07% |
Put |
|
| 8 |
AMERIPRISE FINANCIAL INC |
30,000 |
90,000 |
1.48% |
|
|
| 9 |
BlackRock Institutional Trust Company, N.A. |
23,752 |
71,000 |
1.17% |
|
|
| 10 |
A.R.T. Advisors, LLC |
17,910 |
53,000 |
0.87% |
|
|
| 11 |
Tower Research Capital LLC (TRC) |
13,287 |
40,000 |
0.66% |
|
|
| 12 |
JANE STREET GROUP, LLC |
11,867 |
36,000 |
0.59% |
|
|
| 13 |
PNC FINANCIAL SERVICES GROUP, INC. |
12,000 |
36,000 |
0.59% |
|
|
| 14 |
UBS AG |
4,170 |
13,000 |
0.21% |
|
|
| 15 |
AMERICAN INTERNATIONAL GROUP, INC. |
4,000 |
12,040 |
0.20% |
|
|
| 16 |
UBS AG |
1,500 |
5,000 |
0.08% |
Call |
|
| 17 |
UBS AG |
500 |
2,000 |
0.03% |
Put |
|
| 18 |
CITIGROUP INC |
184 |
1,000 |
0.02% |
|
|
| 19 |
BANK OF MONTREAL /CAN/ |
299 |
1,000 |
0.02% |
|
|
| 20 |
First City Capital Management, Inc. |
3 |
9 |
0.00% |
|
|
| 21 |
1832 Asset Management L.P. |
12 |
0 |
0.00% |
|
|
| 22 |
ROYAL BANK OF CANADA |
1 |
0 |
0.00% |
|
|
| 23 |
LADENBURG THALMANN FINANCIAL SERVICES INC. |
15 |
0 |
0.00% |
|
|
| 24 |
WELLS FARGO & COMPANY/MN |
25 |
0 |
0.00% |
|
|
| 25 |
BANK OF AMERICA CORP /DE/ |
7 |
0 |
0.00% |
|
|
