Institutional and Fund Ownership

SecurityNAK / Northern Dynasty Minerals Ltd.
Institutional Owners72
Institutional Shares34,279,890
Related NDMWF / Northern Dynasty Minerals Ltd. Warrants Expire 07/09/2020

Northern Dynasty Minerals Ltd. (AMEX:NAK) has 72 institutional investors that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 34,279,890 shares. Major holders include Vertex One Asset Management Inc., Wellington Management Group Llp, Russell Investments Group, Ltd., Kopernik Global Investors, LLC, and Hudson Bay Capital Management LP.


Northern Dynasty Minerals Ltd. (AMEX:NAK) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Owners 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.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-08-14 13F-HR UBS Group AG * 1,346,538 1,127,722 -16.25 1,926 1,568 -18.59
2017-08-14 13F-HR GOLDMAN SACHS GROUP INC * 490,831 512,942 4.50 702 713 1.57
2017-08-11 13F-HR Hudson Bay Capital Management LP * 1,140,009 2,078,142 82.29 1,630 2,889 77.24
2017-04-24 13F-HR MIDAS MANAGEMENT CORP * 500,000 0 -100.00 1,035 0 -100.00
2017-08-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * Call 201,000 279
2017-07-12 13F-HR Fisher Asset Management, LLC * 10,000 14
2017-08-11 13F-HR VERTEX ONE ASSET MANAGEMENT INC. * 3,504,500 5,484,600 56.50 4,992 7,628 52.80
2017-08-14 13F-HR TWO SIGMA ADVISERS, LP * 19,710 0 -100.00 28 0 -100.00
2017-08-11 13F-HR SMITH, MOORE & CO. * 13,360 16,585 24.14 19 23 21.05
2017-07-20 13F-HR BLB&B Advisors, LLC * 10,000 14
2017-08-11 13F-HR Renaissance Technologies LLC * 520,100 520,100 0.00 732 726 -0.82
2017-08-14 13F-HR WELLINGTON MANAGEMENT GROUP LLP * 3,791,501 3,875,333 2.21 5,378 5,393 0.28
2017-08-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION * 1,100,000 1,529
2017-08-15 13F-HR Raymond James Financial Services Advisors, Inc. * 14,033 130,032 826.62 20 181 805.00
2017-07-12 13F-HR SIMPLEX TRADING, LLC * Call 120 770 541.67 2 15 650.00
2017-07-12 13F-HR SPROTT INC. * 16,000 16,000 0.00 23 22 -4.35
2017-08-16 13F-HR Goss Wealth Management LLC * 500 675
2017-08-14 13F-HR BOOTHBAY FUND MANAGEMENT, LLC * 100,000 63,500 -36.50 143 88 -38.46
2017-08-14 13F-HR UBS Group AG * Put 270,000 0 -100.00 386 0 -100.00
2017-08-14 13F-HR Kopernik Global Investors, LLC * 2,974,286 2,974,286 0.00 4,253 4,134 -2.80
2017-07-26 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. * Call 7,500 10
2017-07-21 13F-HR HUNTINGTON NATIONAL BANK * 1,773 2
2017-08-10 13F-HR Manitou Investment Management Ltd. * 49,900 0 -100.00 70 0 -100.00
2017-05-12 13F-HR U S GLOBAL INVESTORS INC * 164,003 0 -100.00 336 0 -100.00
2017-07-11 13F-HR Cutler Group LP * Call 5,000 8,600 72.00 1 0 -100.00
2017-08-14 13F-HR HIGHFIELDS CAPITAL MANAGEMENT LP * 3,026,261 76,261 -97.48 4,328 106 -97.55
2017-07-17 13F-HR CWM, LLC * 800 0 -100.00 1 0 -100.00
2017-07-12 13F-HR SIMPLEX TRADING, LLC * Put 1,100 881 -19.91 176 167 -5.11
2017-08-14 13F-HR WOLVERINE TRADING, LLC * 93,551 0 -100.00 133 0 -100.00
2017-08-14 13F-HR GROUP ONE TRADING, L.P. * Call 292,200 264,600 -9.45 418 368 -11.96
2017-08-01 13F-HR Tradewinds Capital Management, LLC * 600 1
2017-08-11 13F-HR CITADEL ADVISORS LLC * Put 89,200 135,900 52.35 128 189 47.66
2017-08-11 13F-HR Commonwealth Equity Services, Inc * 70,212 77,066 9.76 100 107 7.00
2017-07-26 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. * 7,800 10,025 28.53 11 14 27.27
2017-08-11 13F-HR MML INVESTORS SERVICES, LLC * 25,128 25,000 -0.51 36 35 -2.78
2017-08-14 13F-HR People's United Financial, Inc. * 29,695 29,695 0.00 42 41 -2.38
2017-08-14 13F-HR BANK OF AMERICA CORP /DE/ * 26,890 104,280 287.80 38 145 281.58
2017-08-14 13F-HR GROUP ONE TRADING, L.P. * Put 596,500 1,138,800 90.91 853 1,583 85.58
2017-07-11 13F-HR Cutler Group LP * Put 27,900 21,200 -24.01 10 20 100.00
2017-08-14 13F-HR Anchor Bolt Capital, LP * 350,021 0 -100.00 501 0 -100.00
2017-08-11 13F-HR CITADEL ADVISORS LLC * 411,317 72,927 -82.27 588 101 -82.82
2017-07-21 13F-HR DELTA ASSET MANAGEMENT LLC/TN * 0 3,597 0 5
2017-07-25 13F-HR Russell Investments Group, Ltd. * 3,282,632 3,212,055 -2.15 4,625 4,477 -3.20
2017-08-14 13F-HR OPPENHEIMER FUNDS INC * 990,000 1,290,000 30.30 1,416 1,793 26.62
2017-08-10 13F-HR WELLS FARGO & COMPANY/MN * 8,000 6,500 -18.75 12 9 -25.00
2017-07-31 13F-HR IFP Advisors, Inc * 6,745 27,144 302.43 10 38 280.00
2017-08-11 13F-HR Advisor Group, Inc. * 11,418 16,699 46.25 17 23 35.29
2017-08-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC * 7,150 7,150 0.00 10 9 -10.00
2017-08-14 13F-HR Empyrean Capital Partners, LP * 817,191 0 -100.00 1,169 0 -100.00
2017-08-11 13F-HR DEUTSCHE BANK AG\ * 188,184 61,975 -67.07 268 86 -67.91
2017-08-14 13F-HR Independent Advisor Alliance * 20,000 20,000 0.00 25 27 8.00
2017-05-15 13F-HR Connor, Clark & Lunn Investment Management Ltd. * 286,692 0 -100.00 592 0 -100.00
2017-08-10 13F-HR BlackRock Inc. * 14,692 21,607 47.07 21 30 42.86
2017-08-14 13F-HR RAYMOND JAMES & ASSOCIATES * 20,114 15,114 -24.86 29 21 -27.59
2017-07-18 13F-HR GRIMES & COMPANY, INC. * 13,400 13,400 0.00 19 19 0.00
2017-08-11 13F-HR CITIGROUP INC * 22 22 0.00 0 0
2017-08-14 13F-HR Raging Capital Management, LLC * 475,000 0 -100.00 679 0 -100.00
2017-05-19 13F-HR Tower Research Capital LLC (TRC) * 3,600 0 -100.00 10 0 -100.00
2017-08-10 13F-HR CAPTRUST FINANCIAL ADVISORS * 3,000 4
2017-07-11 13F-HR BANK OF MONTREAL /CAN/ * 1,740,416 1,493,642 -14.18 2,489 2,077 -16.55
2017-08-14 13F-HR MACKENZIE FINANCIAL CORP * 1,450,800 1,140,800 -21.37 2,075 1,586 -23.57
2017-05-15 13F-HR PEAK6 Investments, L.P. * 0 10,353 0 15
2017-08-14 13F-HR WOLVERINE TRADING, LLC * Call 94,900 49,500 -47.84 135 69 -48.89
2017-07-13 13F-HR Gemmer Asset Management LLC * 421 1
2017-07-11 13F-HR BANK OF MONTREAL /CAN/ * Put 346,700 482
2017-08-03 13F-HR Bank of New York Mellon Corp * 12,779 0 -100.00 19 0 -100.00
2017-08-14 13F-HR STEELHEAD PARTNERS LLC * 0 100,000 0 139
2017-07-19 13F-HR US BANCORP \DE\ * 1,000 1,000 0.00 1 1 0.00
2017-07-12 13F-HR Creative Planning * Call 1,000 1,000 0.00 0 0
2017-08-14 13F-HR ROYAL BANK OF CANADA * 75,875 2,581 -96.60 109 4 -96.33
2017-07-12 13F-HR SIMPLEX TRADING, LLC * 94,965 61,457 -35.28 135 85 -37.04
2017-08-15 13F-HR SCOTIA CAPITAL INC. * 108,900 108,900 0.00 156 151 -3.21
2017-08-14 13F-HR CREDIT SUISSE AG/ * 11,500 10,700 -6.96 16 15 -6.25
2017-08-14 13F-HR MILLENNIUM MANAGEMENT LLC * 3,796,615 1,450,000 -61.81 5,429 2,016 -62.87
2017-05-15 13F-HR R&F Capital Advisors LP * 137,023 196
2017-05-15 13F-HR HighTower Advisors, LLC * 20,266 29
2017-08-14 13F-HR SIGNATUREFD, LLC * 46,747 65
2017-08-14 13F-HR GROUP ONE TRADING, L.P. * 336,934 883,487 162.21 482 1,228 154.77
2017-08-10 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP * 2,165 0 -100.00 4 0 -100.00
2017-07-31 13F-HR GILDER GAGNON HOWE & CO LLC * 1,024,013 504,955 -50.69 1,464 702 -52.05
2017-08-18 13F-HR TORONTO DOMINION BANK * 0 3 0 0
2017-08-14 13F-HR BARCLAYS PLC * 14,424 14,388 -0.25 20 20 0.00
2017-08-14 13F-HR Lonestar Capital Management LLC * 3,500,000 0 -100.00 5,005 0
2017-08-04 13F-HR One Capital Management, LLC * 10,000 10,000 0.00 14 14 0.00
2017-05-08 13F-HR CIBC World Markets Inc. * 30,000 0 -100.00 62 0 -100.00
2017-08-14 13F-HR Parallax Volatility Advisers, L.P. * 3,080 0 -100.00 4 0 -100.00
2017-08-11 13F-HR Hudson Bay Capital Management LP * Call 894,900 1,244
2017-08-14 13F-HR Arbiter Partners Capital Management LLC * 1,890,263 1,890,263 0.00 2,703 2,627 -2.81
2017-08-11 13F-HR CITADEL ADVISORS LLC * Call 97,400 80,300 -17.56 139 112 -19.42
2017-07-12 13F-HR Creative Planning * 87,366 134,376 53.81 125 187 49.60
2017-08-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * 1,004,541 947,554 -5.67 1,436 1,317 -8.29
2017-07-31 13F-HR SEI INVESTMENTS CO * 362 362 0.00 1 1 0.00
2017-08-03 13F-HR BNP PARIBAS ARBITRAGE, SA * 16,726 16,726 0.00 23,918 23,249 -2.80
2017-08-04 13F-HR JENNISON ASSOCIATES LLC * 0 1,763,422 0.00 0 2,451 -2.82
2017-08-14 13F-HR TUDOR INVESTMENT CORP ET AL * 836,805 150,000 -82.07 1,197 209 -82.54
2017-07-11 13F-HR Cutler Group LP * 9,295 17,072 83.67 13 23 76.92
2017-05-15 13F-HR JANE STREET GROUP, LLC * 22,271 32
2017-08-11 13F-HR KCG HOLDINGS, INC. * 134,243 94,494 -29.61 192 131 -31.77
2017-08-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * Put 953,300 1,325
2017-05-15 13F-HR Fort Point Capital Partners, LLC * 11,100 0 -100.00 33 0 -100.00
2017-08-14 13F-HR WOLVERINE TRADING, LLC * Put 117,800 21,100 -82.09 167 30 -82.04
2017-08-21 13F-HR Atlantic Trust, LLC * 2,530 4
2017-05-15 13F-HR FNY Managed Accounts LLC * 1,522 2
2017-08-11 13F-HR MORGAN STANLEY * 67,510 201,943 199.13 96 281 192.71
2017-08-01 13F-HR HL FINANCIAL SERVICES LLC * 25,000 25,000 0.00 36 35 -2.78

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