Dark
Light
System
Security
* CHINA MING YANG WIND PWR GRO SPONSORED ADR
* CHINA MING YANG WIND PWR GRO SPONSORED ADR. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 31 Institutional holders with a total value of $20,234,213.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEWQUEST CAPITAL MANAGEMENT (CAYMAN) Ltd 2,951,100 6,463,000 31.94%
2 Invesco Ltd. 1,823,198 3,993,000 19.73%
3 Fosun International Ltd 1,326,203 2,904,000 14.35%
4 Top Ace Asset Management Ltd 976,272 2,138,000 10.57%
5 AYM CAPITAL, LLC 500,000 1,095,000 5.41%
6 J&P(CHINA)CAPITAL MANAGEMENT CO.,LTD 295,900 648,000 3.20%
7 Seamans Capital Management, LLC 196,200 430,000 2.13%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 187,785 412,000 2.04%
9 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 183,300 398,000 1.97%
10 FIRST TRUST ADVISORS LP 136,243 298,000 1.47%
11 GEODE CAPITAL MANAGEMENT, LLC 119,463 261,000 1.29%
12 Virtu KCG Holdings LLC 74,436 163,000 0.81%
13 DEUTSCHE BANK AG\ 58,735 127,000 0.63%
14 CITADEL ADVISORS LLC 51,813 113,000 0.56%
15 MILLENNIUM MANAGEMENT LLC 51,826 113,000 0.56%
16 Nine Chapters Capital Management LLC 49,700 109,000 0.54%
17 GOLDMAN SACHS GROUP INC 44,607 98,000 0.48%
18 Allianz Asset Management GmbH 41,013 90,000 0.44%
19 GROUP ONE TRADING LLC 34,900 76,000 0.38%
20 BANK OF AMERICA CORP /DE/ 24,026 53,000 0.26%
21 PARAMETRIC PORTFOLIO ASSOCIATES LLC 21,849 48,000 0.24%
22 UBS Group AG 20,835 46,000 0.23%
23 CREDIT SUISSE AG/ 14,070 31,000 0.15%
24 Tower Research Capital LLC (TRC) 13,459 29,000 0.14%
25 NatWest Group plc 12,625 28,000 0.14%
26 MORGAN STANLEY 12,569 27,000 0.13%
27 Investors Capital Advisory Services 11,250 24,000 0.12%
28 Zurcher Kantonalbank (Zurich Cantonalbank) 6,939 15,000 0.07%
29 BANK OF MONTREAL /CAN/ 1,143 3,000 0.01%
30 UBS Group AG 400 1,000 0.00% Call
31 NATIONAL PLANNING CORP 100 213 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.