SecurityCAPN / Capnia, Inc. (834203200)
Institutional Owners15 (1 N-Q Owners)
Institutional Shares21,246,104 - 107.48% (ex. N-Q)
Institutional Value$ 15,171,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

CAPN / Capnia, Inc. Institutional Ownership

Capnia, Inc. (NASDAQ:CAPN) has 15 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 21,246,104 shares. Largest shareholders include Bioasia Mangement Llc, Feinberg Larry N, Vivo Capital, LLC, Jack W. Schuler Living Trust, Oracle Investment Management Inc, Birchview Capital, LP, Sabby Management, LLC, 683 Capital Management, LLC, DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main, and Vanguard Group Inc.
Capnia, Inc. (NASDAQ:CAPN) ownership structure shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-05-09 13F-HR BlackRock Inc. 15,600 15,599 -0.01 28 28 0.00
2018-05-15 13F-HR UBS Group AG 2,375 4
2017-12-26 SC 13G Birchview Capital, LP 1,180,463
2018-05-15 13F-HR DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 118,801 215
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 1 1 0.00 0 0
2018-05-15 13F-HR ORACLE INVESTMENT MANAGEMENT INC 2,388,060 2,388,060 0.00 4,299 4,330 0.72
2018-02-28 N-Q Ishares Trust (see advisory)
2017-12-18 SC 13D/A BIOASIA MANGEMENT LLC 8,273,101 4,990,996 -39.67
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 16,195 0 -100.00 29 0 -100.00
2017-12-26 SC 13G FEINBERG LARRY N 4,060,060
2018-05-15 13F-HR VANGUARD GROUP INC 40,484 49,887 23.23 73 90 23.29
2018-05-15 13F-HR/A Sabby Management, LLC 915,100 917,835 0.30 1,647 1,661 0.85
2018-05-10 13F-HR JP Morgan Chase & Co 900 0 -100.00 2 0 -100.00
2018-02-14 13F-HR MORGAN STANLEY 145 0
2018-01-12 SC 13D Jack W. Schuler Living Trust 2,644,236
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC 21,484 0 -100.00 39 0 -100.00
2018-05-15 13F-HR Vivo Capital, LLC 4,033,534 4,033,534 0.00 7,260 7,313 0.73
2018-05-15 13F-HR 683 Capital Management, LLC 844,112 844,112 0.00 1,519 1,530 0.72

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( CAPN / Capnia, Inc. ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

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CUSIP: 834203200