| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | CREDIT SUISSE AG/ | 220,548 | 362,000 | 35.35% | ||
| 2 | Verition Fund Management LLC | 140,125 | 230,000 | 22.46% | ||
| 3 | DAFNA Capital Management LLC | 116,279 | 191,000 | 18.65% | ||
| 4 | Anson Funds Management LP | 109,073 | 179,000 | 17.48% | ||
| 5 | Virtu KCG Holdings LLC | 27,216 | 45,000 | 4.39% | ||
| 6 | PERKINS CAPITAL MANAGEMENT INC | 10,000 | 16,000 | 1.56% | ||
| 7 | CITIGROUP INC | 374 | 1,000 | 0.10% | ||
| 8 | AMERICAN INTERNATIONAL GROUP, INC. | 5 | 8 | 0.00% | ||
| 9 | ROYAL BANK OF CANADA | 72 | 0 | 0.00% | ||
| 10 | Tower Research Capital LLC (TRC) | 100 | 0 | 0.00% | ||
| 11 | Creative Planning | 143 | 0 | 0.00% | ||
| 12 | Hudock, Inc. | 43 | 0 | 0.00% | ||
| 13 | MORGAN STANLEY | 20 | 0 | 0.00% | ||
| 14 | UBS Group AG | 128 | 0 | 0.00% | ||
| 15 | Community Bank, N.A. | 250 | 0 | 0.00% |
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.
