| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | Third Security, LLC | 12,300,768 | 17,960,000 | 47.38% | ||
| 2 | GREAT POINT PARTNERS LLC | 3,998,941 | 5,839,000 | 15.40% | ||
| 3 | MSD Partners, L.P. | 3,583,500 | 5,232,000 | 13.80% | ||
| 4 | Knoll Capital Management, LLC | 3,400,816 | 4,965,000 | 13.10% | ||
| 5 | VANGUARD GROUP INC | 1,384,039 | 2,021,000 | 5.33% | ||
| 6 | GEODE CAPITAL MANAGEMENT, LLC | 252,967 | 369,000 | 0.97% | ||
| 7 | BlackRock Fund Advisors | 165,653 | 242,000 | 0.64% | ||
| 8 | TFS CAPITAL LLC | 157,800 | 230,000 | 0.61% | ||
| 9 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 100,350 | 174,000 | 0.46% | ||
| 10 | REGIONS FINANCIAL CORP | 100,000 | 146,000 | 0.39% | ||
| 11 | Virtu KCG Holdings LLC | 81,497 | 119,000 | 0.31% | ||
| 12 | NORTHERN TRUST CORP | 59,208 | 86,000 | 0.23% | ||
| 13 | Genesis Wealth Advisors, LLC | 35,000 | 78,750 | 0.21% | ||
| 14 | Bank of New York Mellon Corp | 36,834 | 54,000 | 0.14% | ||
| 15 | M&T BANK CORP | 36,451 | 53,000 | 0.14% | ||
| 16 | MORGAN STANLEY | 35,276 | 51,000 | 0.13% | ||
| 17 | HAMILTON LANE ADVISORS LLC | 23,855 | 35,000 | 0.09% | ||
| 18 | BlackRock Institutional Trust Company, N.A. | 20,811 | 30,000 | 0.08% | ||
| 19 | STIFEL FINANCIAL CORP | 20,000 | 29,000 | 0.08% | ||
| 20 | THOMPSON DAVIS & CO., INC. | 20,000 | 29,000 | 0.08% | ||
| 21 | STEPHENS INC /AR/ | 15,000 | 22,000 | 0.06% | ||
| 22 | UBS Group AG | 14,106 | 21,000 | 0.06% | ||
| 23 | GOLDMAN SACHS GROUP INC | 12,697 | 19,000 | 0.05% | ||
| 24 | WEDBUSH SECURITIES INC | 12,000 | 18,000 | 0.05% | ||
| 25 | Paloma Partners Management Co | 12,540 | 18,000 | 0.05% | ||
| 26 | BLACKROCK ADVISORS LLC | 11,059 | 16,000 | 0.04% | ||
| 27 | OPPENHEIMER & CO INC | 10,000 | 15,000 | 0.04% | ||
| 28 | BlackRock Investment Management, LLC | 9,545 | 14,000 | 0.04% | ||
| 29 | BANK OF AMERICA CORP /DE/ | 6,000 | 9,000 | 0.02% | ||
| 30 | MANUFACTURERS LIFE INSURANCE COMPANY, THE | 3,772 | 6,000 | 0.02% | ||
| 31 | CITIGROUP INC | 2,857 | 4,000 | 0.01% | ||
| 32 | Tower Research Capital LLC (TRC) | 2,156 | 3,000 | 0.01% | ||
| 33 | WELLS FARGO & COMPANY/MN | 1,000 | 1,000 | 0.00% | ||
| 34 | CITADEL ADVISORS LLC | 686 | 1,000 | 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.
