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NEURALSTEM INCORPORATED
NEURALSTEM INCORPORATED. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 62 Institutional holders with a total value of $6,084,054.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SABBY MANAGEMENT, LLC 6,503,800 1,893,000 31.11%
2 PUTNAM INVESTMENTS LLC 3,665,074 1,067,000 17.54%
3 VANGUARD GROUP INC 3,384,138 984,000 16.17%
4 ALETHEA CAPITAL MANAGEMENT, LLC 2,137,061 622,000 10.22%
5 Anson Funds Management LP 1,216,600 354,000 5.82%
6 BlackRock Institutional Trust Company, N.A. 968,536 282,000 4.64%
7 GEODE CAPITAL MANAGEMENT, LLC 493,517 143,000 2.35%
8 BLAIR WILLIAM & CO/IL 418,942 122,000 2.01%
9 J&P(CHINA)CAPITAL MANAGEMENT CO.,LTD 201,226 59,000 0.97%
10 MACKENZIE FINANCIAL CORP 196,200 57,000 0.94%
11 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 155,700 45,000 0.74%
12 B. Riley Wealth Advisors, Inc. 145,249 39,000 0.64%
13 NORTHERN TRUST CORP 136,192 39,000 0.64%
14 Bank of New York Mellon Corp 130,345 38,000 0.62%
15 FIFTH THIRD BANCORP 120,000 35,000 0.58%
16 D. E. Shaw & Co., Inc. 96,381 28,000 0.46%
17 HighTower Advisors, LLC 93,282 27,000 0.44%
18 LPL Financial LLC 91,816 27,000 0.44%
19 WELLS FARGO & COMPANY/MN 72,775 21,000 0.35%
20 Westend Capital Management, LLC 50,000 15,000 0.25%
21 MSI Financial Services Inc 40,000 12,000 0.20%
22 GREENLEAF TRUST 40,000 12,000 0.20%
23 STATE STREET CORP 38,600 12,000 0.20%
24 NorthRock Partners, LLC 36,000 11,000 0.18%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 35,497 10,000 0.16%
26 PNC FINANCIAL SERVICES GROUP, INC. 31,000 9,000 0.15%
27 DAVENPORT & Co LLC 29,000 8,439 0.14%
28 SARGENT BICKHAM LAGUDIS LLC 5,000 8,000 0.13%
29 JOHNSON INVESTMENT COUNSEL INC 22,000 6,000 0.10%
30 UBS Group AG 20,575 6,000 0.10%
31 EagleClaw Capital Managment, LLC 20,000 6,000 0.10%
32 Private Advisor Group, LLC 16,627 5,000 0.08%
33 BlackRock Fund Advisors 17,431 5,000 0.08%
34 BLACKROCK ADVISORS LLC 17,361 5,000 0.08%
35 Cambridge Investment Research Advisors, Inc. 15,500 5,000 0.08%
36 Rehmann Capital Advisory Group 17,000 5,000 0.08%
37 Creative Planning 13,500 4,000 0.07%
38 GOLDMAN SACHS GROUP INC 15,023 4,000 0.07%
39 MORGAN STANLEY 14,874 4,000 0.07%
40 First Western Capital Management Co 15,000 4,000 0.07%
41 Virtu KCG Holdings LLC 15,075 4,000 0.07%
42 FCG ADVISORS, LLC 13,000 4,000 0.07%
43 Commonwealth Equity Services, Inc 12,540 4,000 0.07%
44 PINNACLE ASSOCIATES LTD 12,597 4,000 0.07%
45 CITADEL ADVISORS LLC 11,289 3,000 0.05%
46 First Heartland Consultants, Inc. 10,000 3,000 0.05%
47 SUSQUEHANNA INTERNATIONAL GROUP, LLP 10,080 3,000 0.05%
48 SG Americas Securities, LLC 11,403 3,000 0.05%
49 NATIONAL PLANNING CORP 14,500 3,000 0.05%
50 SOCIETE GENERALE 11,403 3,000 0.05%
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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.