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NORTHWEST BIOTHERAPEUTICS
NORTHWEST BIOTHERAPEUTICS. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 75 Institutional holders with a total value of $81,512,182.
#
Manager Name
Shares
Value ($)
%
Options
Notes
51 UBS Group AG 8,700 47,000 0.06% Put
52 CITIGROUP INC 8,654 46,000 0.06%
53 CITADEL ADVISORS LLC 8,304 44,000 0.05%
54 WELLS FARGO & COMPANY/MN 7,448 40,000 0.05%
55 Compagnie Lombard Odier SCmA 5,229 28,000 0.03%
56 PNC FINANCIAL SERVICES GROUP, INC. 3,708 20,000 0.02%
57 SIMPLEX TRADING, LLC 3,324 18,000 0.02%
58 US BANCORP \DE\ 3,000 16,000 0.02%
59 WealthTrust Fairport, LLC 3,000 16,000 0.02%
60 WOLVERINE ASSET MANAGEMENT LLC 2,700 14,000 0.02%
61 BARCLAYS PLC 2,186 11,000 0.01%
62 B. Riley Wealth Advisors, Inc. 2,000 11,000 0.01%
63 UBS Group AG 1,300 7,000 0.01% Call
64 BlackRock Finance, Inc. 918 5,000 0.01%
65 CENTRAL TRUST Co 1,000 5,000 0.01%
66 LADENBURG THALMANN FINANCIAL SERVICES INC. 600 3,000 0.00%
67 Alexandria Capital, LLC 600 3,000 0.00%
68 STANCORP INVESTMENT ADVISERS INC 480 3,000 0.00%
69 Raab & Moskowitz Asset Management LLC 431 2,000 0.00%
70 Tower Research Capital LLC (TRC) 228 1,000 0.00%
71 WOLVERINE ASSET MANAGEMENT LLC 5 1,000 0.00% Put
72 Tradewinds Capital Management, LLC 142 1,000 0.00%
73 People's United Financial, Inc. 125 1,000 0.00%
74 DEUTSCHE BANK AG\ 24 0 0.00%
75 FIRST MANHATTAN CO. LLC. 8 0 0.00%
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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.