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

Institutional Holders (2017Q2)
Portfolio Summary: 34 Institutional holders with a total value of $35,171,289.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CITIGROUP INC 1 0 0.00%
2 BNP PARIBAS FINANCIAL MARKETS 3 17 0.00%
3 Winch Advisory Services, LLC 300 2,000 0.01%
4 LADENBURG THALMANN FINANCIAL SERVICES INC. 391 2,000 0.01%
5 MEEDER ASSET MANAGEMENT INC 525 3,000 0.01%
6 MANUFACTURERS LIFE INSURANCE COMPANY, THE 492 3,000 0.01%
7 UBS Group AG 1,382 8,000 0.02%
8 BANK OF AMERICA CORP /DE/ 4,382 24,000 0.07%
9 MORGAN STANLEY 4,473 25,000 0.07%
10 Sandy Spring Bank 8,755 48,000 0.14%
11 BARCLAYS PLC 16,190 89,000 0.25%
12 CREDIT SUISSE AG/ 16,953 93,000 0.26%
13 DEUTSCHE BANK AG\ 17,431 95,000 0.27%
14 BALDWIN WEALTH PARTNERS LLC/MA 19,651 108,000 0.31%
15 PVG ASSET MANAGEMENT CORP 20,595 113,272 0.32%
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 34,238 188,000 0.53%
17 NORTHERN TRUST CORP 34,966 192,000 0.55%
18 LMR Partners LLP 37,506 206,000 0.59%
19 Mariner, LLC 41,525 228,000 0.65%
20 BlackRock Finance, Inc. 46,621 257,000 0.73%
21 Paloma Partners Management Co 48,900 269,000 0.76%
22 ELEMENT CAPITAL MANAGEMENT LLC 61,510 338,000 0.96%
23 GOLDMAN SACHS GROUP INC 67,618 372,000 1.06%
24 GEODE CAPITAL MANAGEMENT, LLC 72,694 399,000 1.13%
25 Allianz Asset Management GmbH 125,670 723,000 2.06%
26 Opus Point Partners Management, LLC 133,500 734,000 2.09%
27 MILLENNIUM MANAGEMENT LLC 159,960 880,000 2.50%
28 Sio Capital Management, LLC 160,000 880,000 2.50%
29 VANGUARD GROUP INC 276,615 1,521,000 4.32%
30 STIFEL FINANCIAL CORP 415,279 2,284,000 6.49%
31 SPHERA FUNDS MANAGEMENT LTD. 501,000 2,756,000 7.84%
32 ROYCE & ASSOCIATES LP 881,000 4,846,000 13.78%
33 JPMORGAN CHASE & CO 1,435,888 7,898,000 22.46%
34 FMR LLC 1,743,012 9,587,000 27.26%

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.