Stock Institutional Ownership and Shareholders

SecurityCASI / CASI Pharmaceuticals, Inc. (14757U109)
CEO and DirectorRen Ken
Institutional Owners30
Institutional Shares14,906,094
Outstanding Shares60,196,574 (as of 2017-09-30)
Institutional Value$ 4,234,000 USD

CASI Pharmaceuticals, Inc. (NASDAQ:CASI) has 30 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 14,906,094 shares. Largest shareholders include Wealth Strategy Holding Ltd, He Wei-wu, Wellington Shields Capital Management, LLC, Wellington Shields & Co., LLC, Vanguard Group Inc, BlackRock Inc., California Public Employees Retirement System, Renaissance Technologies LLC, Raymond James Financial Services Advisors, Inc., and Virtu Financial LLC.



CASI Pharmaceuticals, Inc. (NASDAQ:CASI) ownership summary 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.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-11-14 13F-HR UBS Group AG 7,598 2,409 -68.29 8 5 -37.50
2017-11-14 13F-HR DEUTSCHE BANK AG\ 21 21 0.00 0 0
2017-11-28 13F-HR/A-1 Wellington Shields Capital Management, LLC 726,069 725,348 -0.10 762 1,284 68.50
2017-12-01 SC 13G Wealth Strategy Holding Ltd 6,296,292
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 55,135 55,135 0.00 58 98 68.97
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 17,850 0 -100.00 19 0 -100.00
2017-10-30 13F-HR HOWLAND CAPITAL MANAGEMENT LLC 24,139 43
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 45 45 0.00 0 0
2018-01-16 13F-HR NEXT Financial Group, Inc 2 0 -100.00 0 0
2017-10-11 13F-HR EVERETT HARRIS & CO /CA/ 10,002 10,002 0.00 11 18 63.64
2017-11-09 13F-HR JP Morgan Chase & Co 9 9 0.00 0 0
2017-11-22 13F-HR Chicago Partners Investment Group LLC 0 27 0 0
2017-11-14 13F-HR MORGAN STANLEY 1,133 1,157 2.12 1 2 100.00
2017-11-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 136,518 136,518 0.00 143 242 69.23
2017-11-06 13F-HR Wellington Shields & Co., LLC 505,474 489,984 -3.06 531 867 63.28
2017-11-09 13F-HR CITADEL ADVISORS LLC 20,713 0 -100.00 22 0 -100.00
2017-10-17 13F-HR Creative Planning 1,487 0 -100.00 2 0 -100.00
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 1,171 1,144 -2.31 1 2 100.00
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 38,315 38,315 0.00 40 67 67.50
2017-11-14 13F-HR Manatuck Hill Partners, LLC 15,090 15,090 0.00 16 27 68.75
2017-11-13 13F-HR NORTHERN TRUST CORP 31,034 31,034 0.00 32 55 71.88
2017-11-14 13F-HR BlackRock Inc. 294,225 291,106 -1.06 309 515 66.67
2017-11-13 13F-HR Renaissance Technologies LLC 106,200 112,900 6.31 112 200 78.57
2018-01-12 SC 13D He Wei-wu 6,219,539
2017-11-16 13F-HR Moors & Cabot, Inc. 26,053 26,053 0.00 27 48 77.78
2017-11-14 13F-HR VANGUARD GROUP INC 287,890 358,972 24.69 302 636 110.60
2017-11-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 45 45 0.00 0 0
2017-11-14 13F-HR GUGGENHEIM CAPITAL LLC 12,242 22
2017-11-14 13F-HR ROYAL BANK OF CANADA 17,545 17,572 0.15 18 31 72.22
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 68 68 0.00 0 0
2017-10-30 13F-HR IFP Advisors, Inc 3 3 0.00 0 0
2017-11-06 13F-HR Advisor Group, Inc. 90 90 0.00 0 0
2017-11-14 13F-HR Focused Wealth Management, Inc 45 45 0.00 0 0
2017-11-17 13F-HR/A-1 Virtu Financial LLC 40,790 72
CUSIP: 14757U109