SecurityPPHM / Peregrine Pharmaceuticals, Inc. (713661304)
President & CEOKING STEVEN W
Institutional Owners60
Form N-Q Owners7
Institutional Shares13,879,554 - 30.70% (ex. N-Q)
Common Shares Outstanding45,212,760 shares (as of 2017-10-31) (ex. N-Q)
Institutional Value$ 20,155,000 USD (ex. N-Q)
Related PPHMP / Peregrine Pharmaceuticals, 10.50% Ser E Cumulative Convertible Preferred Stock

Institutional Stock Ownership and Shareholders

Peregrine Pharmaceuticals, Inc. (NASDAQ:PPHM) has 60 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 13,879,554 shares. Largest shareholders include Tappan Street Partners LLC, Stafford John S Iii, Vanguard Group Inc, BlackRock Inc., Bandera Partners LLC, Renaissance Technologies LLC, Geode Capital Management, Llc, Wells Fargo & Company/mn, Stifel Financial Corp, and Eqis 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.

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File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-11-02 13F-HR Sterling Global Strategies LLC 20,000 0 -100.00 12 0 -100.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 0 12,100 0 47
2017-11-14 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC 57,700 0 -100.00 37 0 -100.00
2017-11-29 N-Q Vanguard Institutional Index Funds (see advisory)
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 26,000 0 -100.00 82 0 -100.00
2017-11-15 13F-HR/A-1 BRANDES INVESTMENT PARTNERS, LP 89,100 0 -100.00 54 0 -100.00
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 4,948 4,490 -9.26 16 17 6.25
2018-02-02 13F-HR Ballentine Partners, LLC 25,001 18,500 -26.00 79 72 -8.86
2018-02-13 13F-HR Renaissance Technologies LLC 547,190 549,106 0.35 1,718 2,131 24.04
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 7,800 7,800 0.00 24 30 25.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 9,375 22,961 144.92 29 89 206.90
2017-11-14 13F-HR Squarepoint Ops LLC 146,100 0 -100.00 89 0 -100.00
2017-11-29 N-Q Vanguard Index Funds (see advisory)
2017-11-09 13F-HR CITADEL ADVISORS LLC Put 12,300 0 -100.00 7 0 -100.00
2018-01-25 13F-HR Eqis Capital Management, Inc. 143,595 148,176 3.19 451 575 27.49
2018-02-14 13F-HR NORTHERN TRUST CORP 77,870 72,144 -7.35 244 280 14.75
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 12,100 0 -100.00 38 0 -100.00
2018-02-14 13F-HR Weiss Asset Management LP 13,683 53
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 0 37,404 0 145
2018-02-05 13F-HR Monument Capital Management 16 0
2017-11-09 13F-HR CITADEL ADVISORS LLC Call 10,700 0 -100.00 7 0 -100.00
2018-02-14 13F-HR Advisor Group, Inc. 2,718 3,719 36.83 8 14 75.00
2018-02-13 13F-HR Quinn Opportunity Partners LLC 62,100 92,000 48.15 195 357 83.08
2018-02-01 13F-HR ALGERT GLOBAL LLC 120,521 21,042 -82.54 378 82 -78.31
2018-02-09 13F-HR Bank of New York Mellon Corp 27,578 30,492 10.57 87 118 35.63
2017-11-22 N-Q Legg Mason Global Asset Management Trust (see advisory)
2018-02-14 13F-HR BlueCrest Capital Management Ltd 0 30,643 0 119
2018-02-08 13F-HR SEI INVESTMENTS CO 0 15 0 0
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 143 143 0.00 0 1
2018-02-14 13F-HR ROYAL BANK OF CANADA 886 1,316 48.53 3 5 66.67
2018-02-12 13F-HR CITIGROUP INC 443 443 0.00 1 2 100.00
2018-02-12 13F-HR Brown Advisory Securities, LLC 82,858 38,299 -53.78 260 149 -42.69
2018-02-09 13F-HR Virtu Financial LLC 19,633 76
2018-02-01 13F-HR Baxter Brothers Inc 21,501 12,215 -43.19 68 47 -30.88
2017-11-29 N-Q Vanguard Valley Forge Funds (see advisory)
2017-11-14 13F-HR PANAGORA ASSET MANAGEMENT INC 5,637 0 -100.00 3 0
2018-02-14 13F-HR/A-1 Taylor Hoffman Wealth Management 72 0
2018-01-24 13F-HR IFP Advisors, Inc 3,574 3,043 -14.86 11 12 9.09
2018-02-14 13F-HR MORGAN STANLEY 29,257 49,255 68.35 92 191 107.61
2017-11-14 13F-HR QS Investors, LLC 503,400 0 -100.00 306 0 -100.00
2017-11-14 13F-HR LPL Financial LLC 10,888 0 -100.00 7 0 -100.00
2018-02-09 13F-HR Connor, Clark & Lunn Investment Management Ltd. 98,772 0 -100.00 310 0 -100.00
2018-02-09 13F-HR CITADEL ADVISORS LLC 32,998 0 -100.00 104 0 -100.00
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 117,829 195,904 66.26 370 760 105.41
2018-02-14 13F-HR A.R.T. Advisors, LLC 44,766 0 -100.00 140 0 -100.00
2017-11-06 13F-HR Sigma Planning Corp 35,000 0 -100.00 21 0 -100.00
2018-02-14 13F-HR DEUTSCHE BANK AG\ 8,397 13 -99.85 26 0 -100.00
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 12,038 10,702 -11.10 38 42 10.53
2018-01-31 13F-HR Resources Investment Advisors, Inc. 1,401 0 -100.00 4 0 -100.00
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 38 2,841 7,376.32 0 11
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 27,100 25,000 -7.75 85 97 14.12
2018-02-09 13F-HR Monashee Investment Management LLC 64
2017-11-09 13F-HR INVESTMENT CENTERS OF AMERICA INC 25,050 0 -100.00 15 0 -100.00
2018-02-14 13F-HR AQR CAPITAL MANAGEMENT LLC 27,286 27,286 0.00 86 106 23.26
2018-02-14 13F-HR Fondren Management LP 205,000 0 -100.00 644 0 -100.00
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 425,254 57,919 -86.38 259 182 -29.73
2018-02-14 13F-HR STIFEL FINANCIAL CORP 204,305 195,102 -4.50 640 761 18.91
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 23 3
2018-02-12 13F-HR Bandera Partners LLC 555,000 613,037 10.46 1,743 2,379 36.49
2018-02-14 13F-HR STATE STREET CORP 14,517 23,046 58.75 45 89 97.78
2017-10-05 13F-HR Berson & Corrado Investment Advisors, LLC 15,000 0 -100.00 9 0 -100.00
2017-09-15 13F-HR/A-1 ASSETMARK, INC 271 0 -100.00 0 0
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,992 0 -100.00 6 0 -100.00
2018-02-06 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 68,542 68,542 0.00 215 266 23.72
2018-01-12 13F-HR Advocacy Wealth Management Services, LLC 1 1 0.00 0 0
2017-11-14 13F-HR/A-1 PERCEPTIVE ADVISORS LLC 24,332 0 -100.00 15 0 -100.00
2018-01-26 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-13 13F-HR Axa 81,700 83,700 2.45 257 325 26.46
2018-02-14 13F-HR VANGUARD GROUP INC 1,518,110 1,442,656 -4.97 4,767 5,598 17.43
2017-11-09 13F-HR FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC 10,000 0 -100.00 6 0 -100.00
2018-02-20 SC 13D/A STAFFORD JOHN S III 2,977,260 4,177,260 40.31
2018-02-13 13F-HR JP Morgan Chase & Co 72,069 35,829 -50.29 224 139 -37.95
2018-02-14 13F-HR PDT Partners, LLC 82,800 66,900 -19.20 260 260 0.00
2017-10-17 13F-HR Creative Planning 18,200 0 -100.00 11 0 -100.00
2018-01-10 13F-HR SIMPLEX TRADING, LLC 10,700 16,488 54.09 33 63 90.91
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 14,700 42,400 188.44 46 165 258.70
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 0 32,198 0 125
2017-11-13 13F-HR Spark Investment Management LLC 128,600 0 -100.00 78 0 -100.00
2017-08-22 N-Q Blackrock Funds (see advisory)
2017-10-12 13F-HR HUDSON VALLEY INVESTMENT ADVISORS INC /ADV 16,900 0 -100.00 10 0 -100.00
2017-09-29 N-Q Tfs Capital Investment Trust (see advisory)
2018-02-09 13F-HR BlackRock Inc. 761,302 762,010 0.09 2,391 2,956 23.63
2017-11-09 13F-HR Burt Wealth Advisors 2,000 0 -100.00 1 0 -100.00
2018-02-14 SC 13G/A Tappan Street Partners LLC 3,915,611 4,516,107 15.34
2018-01-19 13F-HR Financial Management Professionals, Inc. 32 32 0.00 0 0
2018-02-13 13F-HR OXFORD ASSET MANAGEMENT 73,517 75,377 2.53 231 300 29.87
2017-11-01 13F-HR ROCKLAND TRUST CO 15,000 0 -100.00 9 0 -100.00
2018-02-02 13F-HR Alambic Investment Management, L.P. 14,500 0 -100.00 46 0 -100.00
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 225,676 225,676 0.00 709 875 23.41
2018-02-14 13F-HR UBS Group AG 2,877 2,877 0.00 9 11 22.22
2018-02-13 13F-HR KENNEDY CAPITAL MANAGEMENT, INC. 69,820 0 -100.00 219 0 -100.00
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 1,123 1,748 55.65 4 7 75.00
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 54,319 211
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 0 22,488 0 88
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 36,400 0 -100.00 22 0 -100.00
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 28 0
2018-02-13 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 52,189 0 -100.00 164 0 -100.00
2017-11-13 13F-HR SYNOVUS FINANCIAL CORP 14,040 0 -100.00 9 0 -100.00
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 28,901 0 -100.00 18 0 -100.00
2017-10-12 13F-HR Hanson McClain, Inc. 686 2

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 ( PPHM / Peregrine Pharmaceuticals, 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!


CUSIP: 713661304