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

Institutional Holders (2016Q4)
Portfolio Summary: 33 Institutional holders with a total value of $3,529,025.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Broadfin Capital, LLC 777,797 972,000 27.54%
2 Alyeska Investment Group, L.P. 464,769 581,000 16.46%
3 SABBY MANAGEMENT, LLC 334,414 415,000 11.76%
4 BAKER BROS. ADVISORS LP 254,973 319,000 9.04%
5 FMR LLC 224,091 278,000 7.88%
6 BlackRock Institutional Trust Company, N.A. 190,106 238,000 6.74%
7 Alyeska Investment Group, L.P. 178,570 223,000 6.32% Call
8 VANGUARD GROUP INC 143,123 177,000 5.02%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 82,600 102,000 2.89% Call
10 GEODE CAPITAL MANAGEMENT, LLC 54,651 67,000 1.90%
11 DEUTSCHE BANK AG\ 43,340 54,000 1.53%
12 A.R.T. Advisors, LLC 16,400 20,000 0.57%
13 Summit Financial Wealth Advisors, LLC 13,000 16,000 0.45%
14 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 12,104 15,000 0.43%
15 UBS Group AG 10,784 14,000 0.40%
16 WEDBUSH SECURITIES INC 10,784 13,000 0.37%
17 ACROSPIRE INVESTMENT MANAGEMENT LLC 4,800 6,000 0.17%
18 MORGAN STANLEY 4,030 5,000 0.14%
19 BLACKROCK ADVISORS LLC 2,806 4,000 0.11%
20 GROUP ONE TRADING LLC 3,086 4,000 0.11%
21 BlackRock Fund Advisors 2,655 3,000 0.09%
22 BANK OF AMERICA CORP /DE/ 610 1,000 0.03%
23 Tower Research Capital LLC (TRC) 664 1,000 0.03%
24 Creative Planning 1,004 1,000 0.03%
25 MassMutual Private Wealth & Trust, FSB 20 25 0.00%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 172 0 0.00%
27 ADVISOR GROUP, INC. 130 0 0.00%
28 JFS WEALTH ADVISORS, LLC 1 0 0.00%
29 ROYAL BANK OF CANADA 28 0 0.00%
30 MANUFACTURERS LIFE INSURANCE COMPANY, THE 29 0 0.00%
31 WELLS FARGO & COMPANY/MN 68 0 0.00%
32 CUTLER GROUP LLC / CA 207 0 0.00%
33 SOWELL FINANCIAL SERVICES LLC 9 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.