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NEPTUNE TECHNOLOGIES BIORESO
NEPTUNE TECHNOLOGIES BIORESO. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 31 Institutional holders with a total value of $8,654,576.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PERCEPTIVE ADVISORS LLC 6,750,444 7,155,000 82.67%
2 WYNNEFIELD CAPITAL INC 795,464 843,000 9.74%
3 Fiera Capital Corp 150,000 159,000 1.84%
4 Alpine Global Management, LLC 148,101 157,000 1.81%
5 B. Riley Wealth Advisors, Inc. 60,000 64,000 0.74%
6 ROYAL BANK OF CANADA 35,128 37,000 0.43%
7 INSTITUTIONAL & FAMILY ASSET MANAGEMENT, LLC 30,000 32,000 0.37%
8 GEODE CAPITAL MANAGEMENT, LLC 30,249 32,000 0.37%
9 CITADEL ADVISORS LLC 29,218 31,000 0.36%
10 FNY Managed Accounts LLC 26,000 27,560 0.32%
11 Virtu KCG Holdings LLC 25,843 27,000 0.31%
12 Creative Planning 16,829 18,000 0.21%
13 SEGALL BRYANT & HAMILL, LLC 11,000 12,000 0.14%
14 BLAIR WILLIAM & CO/IL 10,800 11,000 0.13%
15 LPL Financial LLC 10,000 11,000 0.13%
16 BANK OF AMERICA CORP /DE/ 6,500 7,000 0.08%
17 UBS Group AG 5,462 6,000 0.07%
18 CUTLER GROUP LLC / CA 5,229 5,000 0.06%
19 MORGAN STANLEY 4,611 5,000 0.06%
20 GROUP ONE TRADING LLC 3,900 4,000 0.05%
21 1832 Asset Management L.P. 3,150 3,000 0.03%
22 Tradewinds Capital Management, LLC 2,500 3,000 0.03%
23 DEUTSCHE BANK AG\ 2,400 2,000 0.02%
24 Corbenic Partners LLC 700 1,000 0.01%
25 I.G. INVESTMENT MANAGEMENT, LTD. 814 1,000 0.01%
26 Tower Research Capital LLC (TRC) 900 1,000 0.01%
27 CT Financial Advisors LLC 15 16 0.00%
28 CREDIT AGRICOLE S A 15 0 0.00%
29 HUNTINGTON NATIONAL BANK 500 0 0.00%
30 WELLS FARGO & COMPANY/MN 11 0 0.00%
31 BANK OF MONTREAL /CAN/ 223 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.