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

Institutional Holders (2017Q1)
Portfolio Summary: 29 Institutional holders with a total value of $3,496,138.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Broadfin Capital, LLC 777,797 887,000 25.37%
2 Alyeska Investment Group, L.P. 680,570 776,000 22.20% Call
3 Alyeska Investment Group, L.P. 459,364 524,000 14.99%
4 SABBY MANAGEMENT, LLC 287,522 328,000 9.38%
5 BAKER BROS. ADVISORS LP 254,973 291,000 8.32%
6 BlackRock Finance, Inc. 196,091 224,000 6.41%
7 VANGUARD GROUP INC 151,623 173,000 4.95%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 64,600 74,000 2.12% Call
9 GEODE CAPITAL MANAGEMENT, LLC 54,795 62,000 1.77%
10 DEUTSCHE BANK AG\ 43,340 49,000 1.40%
11 NORTHERN TRUST CORP 16,209 19,000 0.54%
12 A.R.T. Advisors, LLC 14,300 16,000 0.46%
13 Summit Financial Wealth Advisors, LLC 13,000 15,000 0.43%
14 CITADEL ADVISORS LLC 13,100 15,000 0.43% Call
15 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 12,104 14,000 0.40%
16 WEDBUSH SECURITIES INC 10,784 12,000 0.34%
17 UBS Group AG 8,444 10,000 0.29%
18 MORGAN STANLEY 3,999 5,000 0.14%
19 FEDERATION DES CAISSES DESJARDINS DU QUEBEC 978 1,115 0.03%
20 BANK OF AMERICA CORP /DE/ 610 1,000 0.03%
21 MassMutual Private Wealth & Trust, FSB 20 23 0.00%
22 CUTLER GROUP LLC / CA 207 0 0.00%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 30 0 0.00%
24 Creative Planning 4 0 0.00%
25 JFS WEALTH ADVISORS, LLC 1 0 0.00%
26 ROYAL BANK OF CANADA 28 0 0.00%
27 MANUFACTURERS LIFE INSURANCE COMPANY, THE 29 0 0.00%
28 WELLS FARGO & COMPANY/MN 4 0 0.00%
29 ADVISOR GROUP, INC. 130 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.