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OCERA THERAPEUTICS INC
OCERA THERAPEUTICS INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 31 Institutional holders with a total value of $34,388,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GREAT POINT PARTNERS LLC 1,859,315 9,111,000 26.49%
2 VHCP Management, LLC 703,730 3,448,000 10.03%
3 DAFNA Capital Management LLC 675,650 3,311,000 9.63% SH
4 QVT Financial LP 670,127 3,222,000 9.37%
5 MILLENNIUM MANAGEMENT LLC 487,314 2,388,000 6.94%
6 DEERFIELD MANAGEMENT COMPANY, L.P. 461,119 2,259,000 6.57%
7 RA CAPITAL MANAGEMENT, L.P. 417,476 2,046,000 5.95%
8 SPHERA FUNDS MANAGEMENT LTD. 321,254 1,574,000 4.58%
9 VANGUARD GROUP INC 292,836 1,435,000 4.17%
10 PACIFIC ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC 223,520 1,095,000 3.18%
11 Weiss Multi-Strategy Advisers LLC 210,000 1,029,000 2.99%
12 TURNER INVESTMENTS LLC 208,550 1,022,000 2.97%
13 Ghost Tree Capital, LLC 125,000 613,000 1.78%
14 WESTFIELD CAPITAL MANAGEMENT CO LP 65,282 320,000 0.93%
15 FMR LLC 58,000 284,000 0.83%
16 AlphaOne Investment Services, LLC 48,159 236,000 0.69%
17 RENAISSANCE TECHNOLOGIES LLC 38,149 187,000 0.54%
18 PRICE T ROWE ASSOCIATES INC /MD/ 32,442 159,000 0.46%
19 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 30,711 150,000 0.44%
20 BlackRock Fund Advisors 24,962 122,000 0.35%
21 Bank of New York Mellon Corp 21,703 106,000 0.31%
22 KMS FINANCIAL SERVICES, INC 20,250 99,000 0.29%
23 GEODE CAPITAL MANAGEMENT, LLC 11,661 57,000 0.17%
24 GLENMEDE TRUST CO NA 11,352 55,000 0.16%
25 BANK OF AMERICA CORP /DE/ 7,500 37,000 0.11%
26 BlackRock Investment Management, LLC 2,122 10,000 0.03%
27 CITIGROUP INC 1,000 5,000 0.01%
28 WELLS FARGO & COMPANY/MN 925 4,000 0.01%
29 Tower Research Capital LLC (TRC) 309 2,000 0.01%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 166 1,000 0.00%
31 Ground Swell Capital, LLC 200 1,000 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.