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Novartis AG ADR
Novartis AG ADR. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 49 Institutional holders with a total value of $237,028,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NICHOLS & PRATT ADVISERS LLP /MA 432,011 34,112,000 14.39%
2 Reynders McVeigh Capital Management, LLC 309,751 24,458,000 10.32%
3 COMPASS CAPITAL MANAGEMENT, INC 250,715 19,796,000 8.35%
4 Tweedy, Browne Co LLC 220,115 17,380,000 7.33%
5 SCOUT INVESTMENTS, INC. 211,980 16,738,000 7.06%
6 UNITED CAPITAL FINANCIAL ADVISORS, LLC 197,324 15,581,000 6.57%
7 World Asset Management Inc 175,834 13,884,000 5.86%
8 GAMBLE JONES INVESTMENT COUNSEL 122,285 9,656,000 4.07%
9 VANTAGE WEALTH 114,850 9,069,000 3.83%
10 Advisors Capital Management, LLC 103,964 8,209,000 3.46%
11 ZEVIN ASSET MANAGEMENT LLC 99,635 7,867,000 3.32%
12 BUCKHEAD CAPITAL MANAGEMENT LLC 94,812 7,486,000 3.16%
13 WILKINS INVESTMENT COUNSEL INC 94,340 7,449,000 3.14%
14 Kimelman & Baird, LLC 88,262 6,969,000 2.94%
15 KCM INVESTMENT ADVISORS LLC 46,839 3,698,000 1.56%
16 CARRET ASSET MANAGEMENT, LLC 46,141 3,643,000 1.54%
17 Avalon Investment & Advisory 39,292 3,102,000 1.31%
18 D L CARLSON INVESTMENT GROUP INC 34,565 2,729,000 1.15%
19 AMERICAN NATIONAL INSURANCE CO 33,600 2,653,000 1.12%
20 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 32,056 2,531,000 1.07%
21 CATAWBA CAPITAL MANAGEMENT /VA 28,680 2,265,000 0.96%
22 TAURUS ASSET MANAGEMENT, LLC 20,300 1,603,000 0.68%
23 Norman Fields, Gottscho Capital Management, LLC 18,707 1,477,000 0.62%
24 SCHMIDT P J INVESTMENT MANAGEMENT INC 17,630 1,392,000 0.59%
25 AR ASSET MANAGEMENT INC 17,300 1,366,000 0.58%
26 OARSMAN CAPITAL, INC. 15,835 1,250,000 0.53%
27 Narwhal Capital Management 14,975 1,182,000 0.50%
28 SHELTON CAPITAL MANAGEMENT 13,617 992,000 0.42%
29 Nichols Asset Management LLC 10,290 812,000 0.34%
30 LEE DANNER & BASS INC 9,650 762,000 0.32%
31 Curi Capital, LLC 8,455 668,000 0.28%
32 CHICKASAW CAPITAL MANAGEMENT LLC 8,000 632,000 0.27%
33 FERGUSON WELLMAN CAPITAL MANAGEMENT, INC 7,421 586,000 0.25%
34 FLPUTNAM INVESTMENT MANAGEMENT CO 6,848 541,000 0.23%
35 GFS Advisors, LLC 6,765 534,000 0.23%
36 Crestwood Advisors Group, LLC 6,578 519,000 0.22%
37 SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) 6,000 474,000 0.20%
38 HUTCHINSON CAPITAL MANAGEMENT/CA 5,672 448,000 0.19%
39 Ballentine Partners, LLC 4,963 392,000 0.17%
40 Parsec Financial Management, Inc. 4,683 370,000 0.16%
41 DEROY & DEVEREAUX PRIVATE INVESTMENT COUNSEL INC 3,600 284,000 0.12%
42 Hugh Johnson Advisors LLC 3,338 264,000 0.11%
43 ABNER HERRMAN & BROCK LLC 3,306 261,000 0.11%
44 FARR MILLER & WASHINGTON LLC/DC 2,949 232,000 0.10%
45 QUADRANT CAPITAL GROUP LLC 2,712 205,000 0.09%
46 DOWLING & YAHNKE LLC 2,576 203,000 0.09%
47 Maple Capital Management, Inc. 2,546 201,000 0.08%
48 QCI ASSET MANAGEMENT INC/NY 910 72,000 0.03%
49 ISTHMUS PARTNERS, LLC 400 31,000 0.01%

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.