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ADVAXIS INC COM NEW
ADVAXIS INC COM NEW. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 110 Institutional holders with a total value of $173,552,317.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ADAGE CAPITAL PARTNERS GP, L.L.C. 5,939,366 42,526,000 24.50%
2 FMR LLC 4,102,885 29,377,000 16.93%
3 VANGUARD GROUP INC 1,523,300 10,907,000 6.28%
4 Broadfin Capital, LLC 1,519,259 10,878,000 6.27%
5 BlackRock Fund Advisors 1,152,657 8,253,000 4.76%
6 BlackRock Institutional Trust Company, N.A. 944,052 6,759,000 3.89%
7 SECTORAL ASSET MANAGEMENT INC 690,074 4,941,000 2.85%
8 MARSHALL WACE, LLP 678,683 4,859,000 2.80%
9 STATE STREET CORP 621,505 4,452,000 2.57%
10 Jefferies Group LLC 550,900 3,944,000 2.27% Call
11 Sarissa Capital Management LP 500,000 3,579,000 2.06%
12 Jefferies Group LLC 492,800 3,528,000 2.03% Put
13 NORTHERN TRUST CORP 433,897 3,107,000 1.79%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 310,900 2,226,000 1.28% Put
15 CREDIT SUISSE AG/ 301,606 2,159,000 1.24%
16 GEODE CAPITAL MANAGEMENT, LLC 267,076 1,912,000 1.10%
17 Knoll Capital Management, LLC 225,000 1,611,000 0.93%
18 CITADEL ADVISORS LLC 204,697 1,465,000 0.84%
19 NEXTHERA CAPITAL LP 200,000 1,432,000 0.83%
20 MORGAN STANLEY 189,422 1,357,000 0.78%
21 Bank of New York Mellon Corp 180,326 1,291,000 0.74%
22 SUSQUEHANNA INTERNATIONAL GROUP, LLP 180,134 1,290,000 0.74%
23 DAFNA Capital Management LLC 175,000 1,253,000 0.72%
24 Allianz Asset Management GmbH 146,927 1,052,000 0.61%
25 BlackRock Investment Management, LLC 141,941 1,016,000 0.59%
26 TANAKA CAPITAL MANAGEMENT INC 138,928 995,000 0.57%
27 TIAA CREF INVESTMENT MANAGEMENT LLC 128,798 922,000 0.53%
28 THRIVENT FINANCIAL FOR LUTHERANS 125,900 901,000 0.52%
29 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 121,151 868,000 0.50%
30 D. E. Shaw & Co., Inc. 104,708 750,000 0.43%
31 SUSQUEHANNA INTERNATIONAL GROUP, LLP 99,900 715,000 0.41% Call
32 Vident Investment Advisory, LLC 90,785 650,000 0.37%
33 FRANKLIN STREET ADVISORS INC /NC 87,800 629,000 0.36%
34 A.R.T. Advisors, LLC 83,700 599,000 0.35%
35 MILLENNIUM MANAGEMENT LLC 78,156 560,000 0.32%
36 D.A. DAVIDSON & CO. 77,500 554,000 0.32%
37 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 73,741 528,000 0.30%
38 TEACHERS ADVISORS, LLC 63,296 453,000 0.26%
39 ALLIANCEBERNSTEIN L.P. 54,100 387,000 0.22%
40 BANK OF MONTREAL /CAN/ 45,410 377,000 0.22%
41 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 50,000 358,000 0.21%
42 SG Americas Securities, LLC 47,935 343,000 0.20%
43 Swiss National Bank 47,500 340,000 0.20%
44 GOLDMAN SACHS GROUP INC 47,381 339,000 0.20%
45 WELLS FARGO & COMPANY/MN 43,309 310,000 0.18%
46 CITIGROUP INC 41,800 299,000 0.17% Call
47 PARAMETRIC PORTFOLIO ASSOCIATES LLC 40,027 287,000 0.17%
48 Weiss Multi-Strategy Advisers LLC 40,000 286,000 0.16%
49 RHUMBLINE ADVISERS 39,642 284,000 0.16%
50 PRICE T ROWE ASSOCIATES INC /MD/ 38,200 274,000 0.16%
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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.