| 1 |
SABBY MANAGEMENT, LLC |
2,606,035 |
6,671,000 |
21.35% |
|
|
| 2 |
RA CAPITAL MANAGEMENT, L.P. |
2,389,700 |
6,118,000 |
19.58% |
|
|
| 3 |
Broadfin Capital, LLC |
1,968,631 |
5,040,000 |
16.13% |
|
|
| 4 |
ARMISTICE CAPITAL, LLC |
1,110,000 |
2,842,000 |
9.10% |
|
|
| 5 |
GREAT POINT PARTNERS LLC |
1,108,593 |
2,838,000 |
9.08% |
|
|
| 6 |
VANGUARD GROUP INC |
972,213 |
2,489,000 |
7.97% |
|
|
| 7 |
Opaleye Management Inc. |
465,000 |
1,190,000 |
3.81% |
|
|
| 8 |
BAKER BROS. ADVISORS LP |
420,000 |
1,075,000 |
3.44% |
|
|
| 9 |
COMMERZBANK AKTIENGESELLSCHAFT /FI |
300,000 |
768,000 |
2.46% |
|
|
| 10 |
EverPoint Asset Management, LLC |
150,000 |
384,000 |
1.23% |
|
|
| 11 |
Bank of New York Mellon Corp |
129,534 |
332,000 |
1.06% |
|
|
| 12 |
DEUTSCHE BANK AG\ |
92,906 |
237,000 |
0.76% |
|
|
| 13 |
GEODE CAPITAL MANAGEMENT, LLC |
90,732 |
232,000 |
0.74% |
|
|
| 14 |
DAFNA Capital Management LLC |
79,509 |
204,000 |
0.65% |
|
|
| 15 |
BlackRock Fund Advisors |
60,747 |
156,000 |
0.50% |
|
|
| 16 |
Nationwide Fund Advisors |
60,000 |
154,000 |
0.49% |
|
|
| 17 |
DIMENSIONAL FUND ADVISORS LP |
40,190 |
103,000 |
0.33% |
|
|
| 18 |
Verition Fund Management LLC |
32,140 |
82,000 |
0.26% |
|
|
| 19 |
BlackRock Institutional Trust Company, N.A. |
31,830 |
81,000 |
0.26% |
|
|
| 20 |
NORTHERN TRUST CORP |
30,236 |
78,000 |
0.25% |
|
|
| 21 |
CREDIT SUISSE AG/ |
22,200 |
57,000 |
0.18% |
|
|
| 22 |
SUSQUEHANNA INTERNATIONAL GROUP, LLP |
16,900 |
43,000 |
0.14% |
Put |
|
| 23 |
SUSQUEHANNA INTERNATIONAL GROUP, LLP |
10,000 |
26,000 |
0.08% |
Call |
|
| 24 |
BlackRock Investment Management, LLC |
4,318 |
11,000 |
0.04% |
|
|
| 25 |
UBS Group AG |
3,323 |
9,000 |
0.03% |
|
|
| 26 |
MORGAN STANLEY |
2,188 |
6,000 |
0.02% |
|
|
| 27 |
BLACKROCK ADVISORS LLC |
1,873 |
5,000 |
0.02% |
|
|
| 28 |
ADVISOR GROUP, INC. |
1,300 |
3,000 |
0.01% |
|
|
| 29 |
BlackRock Japan Co. Ltd |
1,192 |
3,000 |
0.01% |
|
|
| 30 |
Tower Research Capital LLC (TRC) |
1,284 |
3,000 |
0.01% |
|
|
| 31 |
IFP ADVISORS, INC |
706 |
2,000 |
0.01% |
|
|
| 32 |
INTEGRATED WEALTH MANAGEMENT |
464 |
1,000 |
0.00% |
|
|
| 33 |
ROYAL BANK OF CANADA |
459 |
1,000 |
0.00% |
|
|
| 34 |
North Star Investment Management Corp. |
17 |
0 |
0.00% |
|
|
| 35 |
LADENBURG THALMANN FINANCIAL SERVICES INC. |
1 |
0 |
0.00% |
|
|
| 36 |
WELLS FARGO & COMPANY/MN |
15 |
0 |
0.00% |
|
|
| 37 |
MSI Financial Services Inc |
14 |
0 |
0.00% |
|
|
| 38 |
BANK OF AMERICA CORP /DE/ |
79 |
0 |
0.00% |
|
|
| 39 |
Hudock, Inc. |
6 |
0 |
0.00% |
|
|
| 40 |
Allworth Financial LP |
2 |
0 |
0.00% |
|
|
