| 1 |
SABBY MANAGEMENT, LLC |
2,800,500 |
11,006,000 |
25.90% |
|
|
| 2 |
RA CAPITAL MANAGEMENT, L.P. |
2,336,375 |
9,182,000 |
21.61% |
|
|
| 3 |
Broadfin Capital, LLC |
1,968,631 |
7,737,000 |
18.21% |
|
|
| 4 |
GREAT POINT PARTNERS LLC |
1,115,497 |
4,384,000 |
10.32% |
|
|
| 5 |
Pine River Capital Management L.P. |
512,905 |
2,016,000 |
4.74% |
|
|
| 6 |
BANK OF AMERICA CORP /DE/ |
401,272 |
1,577,000 |
3.71% |
|
|
| 7 |
BANK OF AMERICA CORP /DE/ |
350,000 |
1,376,000 |
3.24% |
Put |
|
| 8 |
VANGUARD GROUP INC |
329,393 |
1,295,000 |
3.05% |
|
|
| 9 |
GROUP ONE TRADING LLC |
149,265 |
587,000 |
1.38% |
|
|
| 10 |
DEUTSCHE BANK AG\ |
145,000 |
569,000 |
1.34% |
|
|
| 11 |
Bank of New York Mellon Corp |
131,541 |
517,000 |
1.22% |
|
|
| 12 |
Bluefin Trading, LLC |
100,499 |
395,000 |
0.93% |
|
|
| 13 |
GEODE CAPITAL MANAGEMENT, LLC |
80,411 |
316,000 |
0.74% |
|
|
| 14 |
BlackRock Fund Advisors |
71,416 |
281,000 |
0.66% |
|
|
| 15 |
MORGAN STANLEY |
62,090 |
244,000 |
0.57% |
|
|
| 16 |
D. E. Shaw & Co., Inc. |
51,695 |
204,000 |
0.48% |
|
|
| 17 |
Verition Fund Management LLC |
50,025 |
197,000 |
0.46% |
|
|
| 18 |
GOLDMAN SACHS GROUP INC |
48,353 |
190,000 |
0.45% |
|
|
| 19 |
NORTHERN TRUST CORP |
35,696 |
140,000 |
0.33% |
|
|
| 20 |
BlackRock Institutional Trust Company, N.A. |
31,830 |
125,000 |
0.29% |
|
|
| 21 |
SG Americas Securities, LLC |
14,076 |
55,000 |
0.13% |
|
|
| 22 |
AXA S.A. |
10,700 |
42,000 |
0.10% |
|
|
| 23 |
AMERICAN INTERNATIONAL GROUP, INC. |
4,300 |
16,899 |
0.04% |
|
|
| 24 |
BlackRock Investment Management, LLC |
4,048 |
16,000 |
0.04% |
|
|
| 25 |
CITIGROUP INC |
2,750 |
11,000 |
0.03% |
|
|
| 26 |
Tower Research Capital LLC (TRC) |
2,451 |
9,000 |
0.02% |
|
|
| 27 |
ROYAL BANK OF CANADA |
809 |
3,000 |
0.01% |
|
|
| 28 |
PNC FINANCIAL SERVICES GROUP, INC. |
500 |
2,000 |
0.00% |
|
|
| 29 |
BANK OF MONTREAL /CAN/ |
400 |
2,000 |
0.00% |
|
|
| 30 |
Ground Swell Capital, LLC |
254 |
1,000 |
0.00% |
|
|
| 31 |
Hudock, Inc. |
6 |
0 |
0.00% |
|
|
| 32 |
LADENBURG THALMANN FINANCIAL SERVICES INC. |
1 |
0 |
0.00% |
|
|
| 33 |
COLONY GROUP LLC |
22 |
0 |
0.00% |
|
|
| 34 |
WELLS FARGO & COMPANY/MN |
2 |
0 |
0.00% |
|
|
| 35 |
North Star Investment Management Corp. |
17 |
0 |
0.00% |
|
|
