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ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917
ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 39 Institutional holders with a total value of $406,001.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BROADWOOD CAPITAL INC 328,205 179,000 44.09%
2 FMR LLC 168,703 92,000 22.66%
3 VANGUARD GROUP INC 89,777 49,000 12.07%
4 Manatuck Hill Partners, LLC 75,000 41,000 10.10%
5 BRIDGEWAY CAPITAL MANAGEMENT, LLC 29,609 16,000 3.94%
6 GOLDMAN SACHS GROUP INC 20,530 11,000 2.71%
7 NORTHERN TRUST CORP 17,552 10,000 2.46%
8 BlackRock Institutional Trust Company, N.A. 2,856 2,000 0.49%
9 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 4,423 2,000 0.49%
10 AMERICAN INTERNATIONAL GROUP, INC. 1,223 1,000 0.25%
11 MORGAN STANLEY 1,346 1,000 0.25%
12 NEW YORK STATE COMMON RETIREMENT FUND 1,920 1,000 0.25%
13 DEUTSCHE BANK AG\ 1,920 1,000 0.25%
14 CT Financial Advisors LLC 1 1 0.00%
15 ROYAL BANK OF CANADA 8 0 0.00%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 134 0 0.00%
17 ASSETMARK, INC 2 0 0.00%
18 Stanford Investment Group, Inc. 4 0 0.00%
19 Apriem Advisors 2 0 0.00%
20 CUTLER GROUP LLC / CA 16 0 0.00%
21 Creative Planning 128 0 0.00%
22 Chicago Partners Investment Group LLC 3 0 0.00%
23 UBS Group AG 813 0 0.00%
24 IFP ADVISORS, INC 262 0 0.00%
25 ADVISOR GROUP, INC. 30 0 0.00%
26 VERSANT CAPITAL MANAGEMENT, INC 10 0 0.00%
27 JPMORGAN CHASE & CO 264 0 0.00% PRN
28 FIFTH THIRD BANCORP 165 0 0.00%
29 US BANCORP \DE\ 137 0 0.00%
30 CENTRAL TRUST Co 8 0 0.00%
31 BANK OF AMERICA CORP /DE/ 171 0 0.00%
32 WELLS FARGO & COMPANY/MN 56 0 0.00%
33 PNC FINANCIAL SERVICES GROUP, INC. 8 0 0.00%
34 FIRST MANHATTAN CO. LLC. 26 0 0.00%
35 CITIGROUP INC 118 0 0.00% Call
36 TIAA CREF INVESTMENT MANAGEMENT LLC 153 0 0.00%
37 BANK OF MONTREAL /CAN/ 1,008 0 0.00%
38 MANUFACTURERS LIFE INSURANCE COMPANY, THE 492 0 0.00%
39 DEUTSCHE BANK AG\ 3 0 0.00% Call

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.