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TEKLA LIFE SCIENCES INVS
TEKLA LIFE SCIENCES INVS. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 40 Institutional holders with a total value of $53,107,700.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEEDHAM INVESTMENT MANAGEMENT LLC 622,597 15,490,000 29.17%
2 MORGAN STANLEY 547,534 13,623,000 25.65%
3 WELLS FARGO & COMPANY/MN 278,750 6,935,000 13.06%
4 LPL Financial LLC 103,132 2,566,000 4.83%
5 CREDIT SUISSE AG/ 98,299 2,446,000 4.61%
6 UBS Group AG 79,875 1,987,000 3.74%
7 FIRST TRUST ADVISORS LP 63,850 1,589,000 2.99%
8 OPPENHEIMER & CO INC 45,492 1,132,000 2.13%
9 GUGGENHEIM CAPITAL LLC 33,942 844,000 1.59%
10 AMERICAN INTERNATIONAL GROUP, INC. 33,403 831,067 1.56%
11 NATIONAL PLANNING CORP 28,746 731,873 1.38%
12 ROYAL BANK OF CANADA 28,833 717,000 1.35%
13 USCA RIA LLC 25,902 644,000 1.21%
14 Commonwealth Equity Services, Inc 24,972 621,000 1.17%
15 MERIDIAN INVESTMENT COUNSEL INC. 12,995 323,000 0.61%
16 Invesco Ltd. 12,571 313,000 0.59%
17 STIFEL FINANCIAL CORP 11,700 291,000 0.55%
18 New England Private Wealth Advisors LLC 11,053 275,000 0.52%
19 CSS LLC/IL 10,709 266,000 0.50%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 9,520 237,000 0.45%
21 Robert W. Baird & Co. Inc 8,923 222,000 0.42%
22 BANK OF AMERICA CORP /DE/ 8,726 217,000 0.41%
23 AMERIPRISE FINANCIAL INC 8,227 205,000 0.39%
24 PNC FINANCIAL SERVICES GROUP, INC. 7,657 191,000 0.36%
25 CITIGROUP INC 5,519 137,000 0.26%
26 Capital Analysts, LLC 2,000 49,760 0.09%
27 MSI Financial Services Inc 1,466 36,000 0.07%
28 Creative Planning 1,422 35,000 0.07%
29 Cordasco Financial Network 1,327 33,000 0.06%
30 FIFTH THIRD BANCORP 1,104 27,000 0.05%
31 SeaBridge Investment Advisors LLC 956 24,000 0.05%
32 NEXT Financial Group, Inc 830 21,000 0.04%
33 Focused Wealth Management, Inc 753 19,000 0.04%
34 MARK SHEPTOFF FINANCIAL PLANNING, LLC 465 12,000 0.02%
35 Thomas J. Herzfeld Advisors, Inc. 390 10,000 0.02%
36 BOSTON PRIVATE BANK & TRUST CO 183 5,000 0.01%
37 Advisory Services Network, LLC 26 1,000 0.00%
38 Transamerica Financial Advisors, LLC 1 1,000 0.00%
39 DEUTSCHE BANK AG\ 2 0 0.00%
40 TCI Wealth Advisors, Inc. 12 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.