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

Institutional Holders (2016Q4)
Portfolio Summary: 45 Institutional holders with a total value of $55,444,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 INTERWEST VENTURE MANAGEMENT CO 2,453,338 21,712,000 39.16%
2 TAMARACK ADVISERS, LP 562,606 4,979,000 8.98%
3 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 540,135 4,780,000 8.62%
4 KORNITZER CAPITAL MANAGEMENT INC /KS 417,230 3,692,000 6.66%
5 MILLENNIUM MANAGEMENT LLC 323,683 2,865,000 5.17%
6 PEREGRINE CAPITAL MANAGEMENT INC /MN/ 286,750 2,538,000 4.58%
7 WASATCH ADVISORS LP 253,284 2,242,000 4.04%
8 Pier Capital, LLC 253,077 2,240,000 4.04%
9 WADDELL & REED FINANCIAL INC 200,000 1,770,000 3.19%
10 VANGUARD GROUP INC 136,530 1,208,000 2.18%
11 C WorldWide Group Holding A/S 100,000 885,000 1.60%
12 WALL STREET ASSOCIATES 99,700 882,000 1.59%
13 FORMULA GROWTH LTD 74,998 664,000 1.20%
14 ROYAL BANK OF CANADA 74,295 658,000 1.19%
15 NORGES BANK 50,000 442,000 0.80%
16 FRED ALGER MANAGEMENT, LLC 46,795 414,000 0.75%
17 BlackRock Fund Advisors 40,897 362,000 0.65%
18 BELLEVUE GROUP AG 40,000 354,000 0.64%
19 STATE STREET CORP 34,073 302,000 0.54%
20 NORTHERN TRUST CORP 33,934 300,000 0.54%
21 GOLDMAN SACHS GROUP INC 32,687 289,000 0.52%
22 MACQUARIE GROUP LTD 25,080 222,000 0.40%
23 D. E. Shaw & Co., Inc. 21,919 194,000 0.35%
24 HANDELSBANKEN FONDER AB 20,000 177,000 0.32%
25 KEYBANK NATIONAL ASSOCIATION/OH 17,561 155,000 0.28%
26 MORGAN STANLEY 15,366 136,000 0.25%
27 Weiss Multi-Strategy Advisers LLC 15,000 133,000 0.24%
28 Laurion Capital Management LP 14,500 128,000 0.23%
29 GEODE CAPITAL MANAGEMENT, LLC 13,409 118,000 0.21%
30 SUSQUEHANNA INTERNATIONAL GROUP, LLP 10,044 89,000 0.16%
31 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 10,000 89,000 0.16%
32 DEUTSCHE BANK AG\ 9,637 84,000 0.15%
33 JPMORGAN CHASE & CO 8,430 75,000 0.14%
34 UBS Group AG 6,215 55,000 0.10%
35 TEACHERS ADVISORS, LLC 5,249 46,000 0.08%
36 CITIGROUP INC 4,861 43,000 0.08%
37 TIAA CREF INVESTMENT MANAGEMENT LLC 3,854 34,000 0.06%
38 BANK OF AMERICA CORP /DE/ 3,862 34,000 0.06%
39 BLACKROCK ADVISORS LLC 2,089 18,000 0.03%
40 STRS OHIO 1,500 13,000 0.02%
41 Legal & General Group Plc 1,336 12,000 0.02%
42 ACROSPIRE INVESTMENT MANAGEMENT LLC 500 4,000 0.01%
43 LADENBURG THALMANN FINANCIAL SERVICES INC. 300 3,000 0.01%
44 Catalyst Capital Advisors LLC 200 2,000 0.00%
45 BlackRock Investment Management, LLC 261 2,000 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.