Stock Institutional Ownership and Shareholders

SecurityPPHM / Peregrine Pharmaceuticals, Inc. (713661304)
President & CEOKING STEVEN W
Institutional Owners10
Institutional Shares30,748,701
Outstanding Shares44,773,727 (as of 2017-07-31)
Institutional Value$ 1,028,000 USD
Related PPHMP / Peregrine Pharmaceuticals, 10.50% Ser E Cumulative Convertible Preferred Stock

Peregrine Pharmaceuticals, Inc. (NASDAQ:PPHM) has 10 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 30,748,701 shares. Largest shareholders include Ronin Capital, LLC, Tappan Street Partners LLC, Stafford John S Iii, Eqis Capital Management, Inc., and Kennedy Capital Management, Inc..


Peregrine Pharmaceuticals, Inc. (NASDAQ:PPHM) 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 LPL Financial LLC 10,888 0 -100.00 7 0 -100.00
2017-11-14 13F-HR AQR CAPITAL MANAGEMENT LLC 190,991 0 -100.00 116 0 -100.00
2017-11-14 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 576,897 52,189 -90.95 351 164 -53.28
2017-05-16 13F-HR Delaney Dennis R 10,000 0 -100.00 4 0 -100.00
2017-11-14 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC 57,700 0 -100.00 37 0 -100.00
2017-11-14 13F-HR Squarepoint Ops LLC 146,100 0 -100.00 89 0 -100.00
2017-11-09 13F-HR INVESTMENT CENTERS OF AMERICA INC 25,050 0 -100.00 15 0 -100.00
2017-07-25 13F-HR ACADIAN ASSET MANAGEMENT LLC 724,107 0 -100.00 473 0 -100.00
2017-11-14 13F-HR MORGAN STANLEY 68,012 0 -100.00 41 0 -100.00
2017-07-31 13F-HR Crestwood Advisors LLC 35,000 0 -100.00 22 0 -100.00
2017-05-18 13F-HR/A-1 GOLDMAN SACHS GROUP INC 318,605 0 -100.00 98 0 -100.00
2017-11-14 13F-HR GUGGENHEIM CAPITAL LLC 75,288 0 -100.00 46 0 -100.00
2017-11-13 13F-HR CITIGROUP INC 2,990 0 -100.00 2 0 -100.00
2017-11-09 13F-HR Burt Wealth Advisors 2,000 0 -100.00 1 0 -100.00
2017-11-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 7,100 0 -100.00 5 0 -100.00
2017-08-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 6,637 0 -100.00 4 0 -100.00
2017-11-09 13F-HR CITADEL ADVISORS LLC 357,048 0 -100.00 218 0 -100.00
2017-07-31 13F-HR Nine Chapters Capital Management LLC 134,200 0 -100.00 88 0 -100.00
2017-11-09 13F-HR JP MORGAN CHASE & CO 30,000 0 -100.00 18 0 -100.00
2017-11-14 13F-HR ROYAL BANK OF CANADA 6,500 0 -100.00 4 0 -100.00
2017-11-09 13F-HR FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC 10,000 0 -100.00 6 0 -100.00
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 11,700 0 -100.00 7 0 -100.00
2017-11-14 13F-HR GROUP ONE TRADING, L.P. 18,144 0 -100.00 11 0 -100.00
2017-09-15 13F-HR/A-1 ASSETMARK, INC 271 0 -100.00 0 0
2017-11-15 13F-HR/A-1 BRANDES INVESTMENT PARTNERS, LP 89,100 0 -100.00 54 0 -100.00
2017-11-13 SC 13G/A Tappan Street Partners LLC 2,298,684 3,915,611 70.34
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 105,627 0 -100.00 64 0 -100.00
2017-11-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 479,800 0 -100.00 292 0 -100.00
2017-10-25 13F-HR SIMPLEX TRADING, LLC Call 17 0 -100.00 0 0
2017-08-07 13F-HR Hanson McClain, Inc. 4,800 0 -100.00 3 0 -100.00
2017-11-14 13F-HR UBS Group AG 35,327 0 -100.00 21 0 -100.00
2017-05-15 13F-HR DEUTSCHE BANK AG\ 59,457 0 -100.00 18 0 -100.00
2017-10-03 13F-HR Eqis Capital Management, Inc. 1,052,770 143,595 -86.36 642 451 -29.75
2017-11-13 13F-HR STIFEL FINANCIAL CORP 24,800 0 -100.00 15 0 -100.00
2017-08-14 13F-HR WOLVERINE TRADING, LLC Call 31,500 0 -100.00 21 0 -100.00
2017-11-06 13F-HR SEI INVESTMENTS CO 560 0 -100.00 0 0
2017-11-07 13F-HR Commonwealth Equity Services, Inc 425,254 0 -100.00 258 0 -100.00
2017-11-13 13F-HR SYNOVUS FINANCIAL CORP 14,040 0 -100.00 9 0 -100.00
2017-08-11 13F-HR D.A. DAVIDSON & CO. 3,200 0 -100.00 2 0 -100.00
2017-11-14 13F-HR GROUP ONE TRADING, L.P. Call 13,300 0 -100.00 8 0 -100.00
2017-10-17 13F-HR Creative Planning 18,200 0 -100.00 11 0 -100.00
2017-11-09 13F-HR CITADEL ADVISORS LLC Call 10,700 0 -100.00 7 0 -100.00
2017-10-05 13F-HR Berson & Corrado Investment Advisors, LLC 15,000 0 -100.00 9 0 -100.00
2017-08-14 13F-HR WOLVERINE TRADING, LLC 26,481 0 -100.00 18 0 -100.00
2017-08-08 13F-HR Airain ltd 0 42,362 0 26
2017-10-27 SC 13D/A STAFFORD JOHN S III 3,310,652 3,310,652 0.00
2017-11-14 13F-HR QS Investors, LLC 503,400 0 -100.00 306 0 -100.00
2017-06-20 SC 13D/A Ronin Capital, LLC 20,814,248 23,144,559 11.20
2017-07-25 13F-HR Russell Investments Group, Ltd. 322,451 0 -100.00 210 0 -100.00
2017-11-06 13F-HR Ballentine Partners, LLC 25,001 0 -100.00 113 0 -100.00
2017-11-14 13F-HR VANGUARD GROUP INC 7,208,139 0 -100.00 4,382 0 -100.00
2017-05-19 13F-HR Tower Research Capital LLC (TRC) 64,560 0 -100.00 20 0 -100.00
2017-07-18 13F-HR Advocacy Wealth Management Services, LLC 1 0 -100.00 0 0
2017-11-13 13F-HR Spark Investment Management LLC 128,600 0 -100.00 78 0 -100.00
2017-11-14 13F-HR/A-1 PERCEPTIVE ADVISORS LLC 24,332 0 -100.00 15 0 -100.00
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 28,901 0 -100.00 18 0 -100.00
2017-07-31 13F-HR IFP Advisors, Inc 25,000 0 -100.00 16 0 -100.00
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 36,200 0 -100.00 22 0 -100.00
2017-11-09 13F-HR CITADEL ADVISORS LLC Put 12,300 0 -100.00 7 0 -100.00
2017-08-11 13F-HR KCG HOLDINGS, INC. 238,906 20,834 -91.28 156 13 -91.67
2017-11-13 13F-HR Bandera Partners LLC 1,421,000 0 -100.00 864 0 -100.00
2017-10-19 13F-HR Financial Management Professionals, Inc. 220 0 -100.00 0 0
2017-11-14 13F-HR STATE STREET CORP 101,617 0 -100.00 63 0 -100.00
2017-11-03 13F-HR Brown Advisory Securities, LLC 580,000 0 -100.00 353 0 -100.00
2017-11-13 13F-HR Renaissance Technologies LLC 3,368,052 0 -100.00 2,048 0 -100.00
2017-11-06 13F-HR Bank of New York Mellon Corp 195,528 27,578 -85.90 119 87 -26.89
2017-05-15 13F-HR RAYMOND JAMES & ASSOCIATES 20,556 0 -100.00 6 0 -100.00
2017-11-13 13F-HR KENNEDY CAPITAL MANAGEMENT, INC. 9,758,459 69,820 -99.28 5,933 219 -96.31
2017-10-16 13F-HR Baxter Brothers Inc 150,500 21,501 -85.71 92 68 -26.09
2017-08-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 80,400 0 -100.00 53 0 -100.00
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 36,400 0 -100.00 22 0 -100.00
2017-11-06 13F-HR Sigma Planning Corp 35,000 0 -100.00 21 0 -100.00
2017-11-02 13F-HR Sterling Global Strategies LLC 20,000 0 -100.00 12 0 -100.00
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 338,378 0 -100.00 206 0 -100.00
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 1,579,723 0 -100.00 960 0 -100.00
2017-11-06 13F-HR Advisor Group, Inc. 17,000 0 -100.00 10 0 -100.00
2017-08-14 13F-HR Connor, Clark & Lunn Investment Management Ltd. 69,925 0 -100.00 46 0 -100.00
2017-11-14 13F-HR BlackRock Inc. 5,642,043 0 -100.00 3,430 0 -100.00
2017-08-18 13F-HR WFG Advisors, LP 8 0 -100.00 0 0
2017-11-01 13F-HR ROCKLAND TRUST CO 15,000 0 -100.00 9 0 -100.00
2017-05-15 13F-HR Fondren Management LP 4,500,000 0 -100.00 1,388 0 -100.00
2017-11-13 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 1,000 0 -100.00 1 0 -100.00
2017-11-13 13F-HR NORTHERN TRUST CORP 454,451 0 -100.00 276 0 -100.00
CUSIP: 713661304