Dark
Light
System
Security
ASTERIAS BIOTHERAPEUTICS INC COM SER A
ASTERIAS BIOTHERAPEUTICS INC COM SER A. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 67 Institutional holders with a total value of $18,322,121.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BROADWOOD CAPITAL INC 3,699,848 8,880,000 48.47%
2 FMR LLC 784,091 1,882,000 10.27%
3 BlackRock Fund Advisors 586,720 1,408,000 7.68%
4 VANGUARD GROUP INC 492,261 1,181,000 6.45%
5 THRIVENT FINANCIAL FOR LUTHERANS 413,278 992,000 5.41%
6 SABBY MANAGEMENT, LLC 308,909 741,000 4.04%
7 BlackRock Institutional Trust Company, N.A. 261,678 628,000 3.43%
8 BRIDGEWAY CAPITAL MANAGEMENT, LLC 148,054 355,000 1.94%
9 NORTHERN TRUST CORP 139,175 334,000 1.82%
10 STATE STREET CORP 94,976 226,000 1.23%
11 GEODE CAPITAL MANAGEMENT, LLC 89,034 213,000 1.16%
12 TIAA CREF INVESTMENT MANAGEMENT LLC 84,578 203,000 1.11%
13 BlackRock Investment Management, LLC 73,307 176,000 0.96%
14 Bank of New York Mellon Corp 54,406 131,000 0.71%
15 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 47,564 114,000 0.62%
16 GOLDMAN SACHS GROUP INC 39,975 96,000 0.52%
17 Northeast Financial Consultants Inc 35,026 84,000 0.46%
18 Manatuck Hill Partners, LLC 100,567 61,000 0.33%
19 TEACHERS ADVISORS, LLC 24,956 60,000 0.33%
20 SG Americas Securities, LLC 22,117 53,000 0.29%
21 SOCIETE GENERALE 22,117 53,000 0.29%
22 CREDIT SUISSE AG/ 21,426 51,000 0.28%
23 WEDBUSH SECURITIES INC 19,500 47,000 0.26%
24 Virtu KCG Holdings LLC 19,551 47,000 0.26%
25 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 15,125 37,000 0.20%
26 Spot Trading L.L.C 15,000 36,000 0.20% Call
27 RAYMOND JAMES & ASSOCIATES 14,078 34,000 0.19%
28 AMERICAN INTERNATIONAL GROUP, INC. 13,058 31,339 0.17%
29 DEUTSCHE BANK AG\ 13,070 31,000 0.17%
30 RHUMBLINE ADVISERS 11,664 28,000 0.15%
31 Nationwide Fund Advisors 10,005 24,000 0.13%
32 NEW YORK STATE COMMON RETIREMENT FUND 9,600 23,000 0.13%
33 MORGAN STANLEY 7,284 17,000 0.09%
34 BLACKROCK ADVISORS LLC 6,138 15,000 0.08%
35 CITIGROUP INC 2,868 6,000 0.03%
36 BANK OF AMERICA CORP /DE/ 1,281 3,000 0.02%
37 IFP ADVISORS, INC 1,335 3,000 0.02%
38 BlackRock Finance, Inc. 1,258 3,000 0.02%
39 BNP PARIBAS FINANCIAL MARKETS 892 2,141 0.01%
40 LADENBURG THALMANN FINANCIAL SERVICES INC. 689 2,000 0.01%
41 UBS Group AG 715 2,000 0.01%
42 FIFTH THIRD BANCORP 829 2,000 0.01%
43 GROUP ONE TRADING LLC 939 2,000 0.01%
44 US BANCORP \DE\ 687 2,000 0.01%
45 WOLVERINE TRADING LP /BD 627 1,473 0.01%
46 Creative Planning 567 1,000 0.01%
47 WEALTHPLAN PARTNERS, LLC 140 168 0.00%
48 Financial Architects, Inc 120 0 0.00%
49 MSI Financial Services Inc 34 0 0.00%
50 Apriem Advisors 12 0 0.00%
Page 1 of 2

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.