Institutional and Fund Ownership

SecurityPPHM / Peregrine Pharmaceuticals, Inc.
President & CEOKING STEVEN W
Institutional Owners69
Institutional Shares66,933,402
Related PPHMP / Peregrine Pharmaceuticals, 10.50% Ser E Cumulative Convertible Preferred Stock

Peregrine Pharmaceuticals, Inc. (NASDAQ:PPHM) has 69 institutional investors that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 66,933,402 shares. Major holders include Ronin Capital, LLC , Kennedy Capital Management, Inc. , Vanguard Group Inc , BlackRock Inc. , and BlackRock Institutional Trust Company, N.A..


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. 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)
2017-05-12 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC * 542,800 593,200 9.29 167 388 132.34
2017-05-15 13F-HR LPL Financial LLC * 13,332 10,744 -19.41 4 7 75.00
2016-08-12 13F-HR ProShare Advisors LLC * 28,118 0 -100.00 12 0 -100.00
2016-07-25 13F-HR BANK OF MONTREAL /CAN/ * 625 0 -100.00 0 0
2016-11-14 13F-HR BlueCrest Capital Management Ltd * 11,010 0 -100.00 4 0 -100.00
2016-08-11 13F-HR TEACHERS ADVISORS INC * 297,386 0 -100.00 125 0 -100.00
2017-05-15 13F-HR Brown Advisory Securities, LLC * 580,000 379
2017-05-15 13F-HR GUGGENHEIM CAPITAL LLC * 60,640 75,288 24.16 19 49 157.89
2017-07-12 13F-HR SIMPLEX TRADING, LLC * Call 17 0
2017-07-14 SC 13D/A STAFFORD JOHN S III * 23,144,559 3,310,651 -85.70
2017-05-15 13F-HR Connor, Clark & Lunn Investment Management Ltd. * 69,925 46
2017-05-16 13F-HR Delaney Dennis R * 10,000 0 -100.00 4 0 -100.00
2017-01-27 13F-HR Nationwide Fund Advisors * 54,200 0 -100.00 23 0 -100.00
2017-05-12 13F-HR CITADEL ADVISORS LLC * 0 205,651 0 134
2016-08-12 13F-HR Nuveen Asset Management, LLC * 13,687 0 -100.00 6 0 -100.00
2017-05-09 13F-HR BRANDES INVESTMENT PARTNERS, LP * 89,100 58
2017-05-22 13F-HR/A MORGAN STANLEY * 100,587 429,750 327.24 32 281 778.13
2017-05-11 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM * 479,800 479,800 0.00 148 314 112.16
2016-08-09 13F-HR PRINCIPAL FINANCIAL GROUP INC * 39,754 0 -100.00 17 0 -100.00
2016-11-23 13F-HR First Heartland Consultants, Inc. * 17,240 0 -100.00 6 0 -100.00
2016-11-09 13F-HR Emerald Acquisition Ltd. * 76,400 76,400 0.00 28 32 14.29
2017-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * Call 22,700 15
2017-05-12 13F-HR GLOBEFLEX CAPITAL L P * 1,310 0 -100.00 0 0
2016-11-10 13F-HR Laurion Capital Management LP * 663,300 0 -100.00 242 0
2016-11-15 13F-HR Alpine Partners VI, LLC * 0 0 0.00 0 0
2017-07-14 13F-HR Eqis Capital Management, Inc. * 1,042,372 1,052,770 1.00 678 642 -5.31
2017-04-28 13F-HR Burt Wealth Advisors * 2,000 0 -100.00 1 0 -100.00
2017-06-21 13F-HR/A GEODE CAPITAL MANAGEMENT, LLC * 1,092,680 1,437,491 31.56 336 940 179.76
2017-05-03 13F-HR Bank of New York Mellon Corp * 194,564 198,296 1.92 60 129 115.00
2016-10-07 13F-HR SIMPLEX TRADING, LLC * Put 0 0
2017-05-12 13F-HR PNC FINANCIAL SERVICES GROUP, INC. * 1,000 1,000 0.00 0 1
2017-05-09 13F-HR Raymond James Financial Services Advisors, Inc. * 36,400 36,400 0.00 11 24 118.18
2017-05-19 13F-HR Tower Research Capital LLC (TRC) * 64,560 0 -100.00 20 0 -100.00
2017-05-15 13F-HR WOLVERINE TRADING, LLC * 26,481 18
2017-05-10 13F-HR GROUP ONE TRADING, L.P. * 29,926 26,848 -10.29 9 18 100.00
2016-08-03 13F-HR SG Americas Securities, LLC * 159,223 0 -100.00 67 0 -100.00
2017-05-15 13F-HR Squarepoint Ops LLC * 469,100 42,400 -90.96 145 28 -80.69
2016-08-16 13F-HR Legal & General Group Plc * 34,581 0 -100.00 15 0 -100.00
2017-05-15 13F-HR ROYAL BANK OF CANADA * 5,779 4,400 -23.86 1 3 200.00
2017-05-15 13F-HR WOLVERINE TRADING, LLC * Call 31,500 21
2017-05-12 13F-HR CITIGROUP INC * 2,990 2,990 0.00 1 2 100.00
2017-04-18 13F-HR Financial Management Professionals, Inc. * 220 220 0.00 0 0
2016-08-11 13F-HR ALLIANCEBERNSTEIN L.P. * 26,000 0 -100.00 11 0 -100.00
2017-05-15 13F-HR Fondren Management LP * 4,500,000 0 -100.00 1,388 0 -100.00
2017-04-20 13F-HR ROCKLAND TRUST CO * 15,000 15,000 0.00 5 10 100.00
2017-05-12 13F-HR KENNEDY CAPITAL MANAGEMENT, INC. * 7,575,753 8,730,392 15.24 2,336 5,710 144.43
2016-08-11 13F-HR AMERICAN INTERNATIONAL GROUP INC * 111,307 0 -100.00 46,000 0 -100.00
2017-05-15 13F-HR BANK OF AMERICA CORP /DE/ * 36,213 36,770 1.54 12 24 100.00
2016-11-04 13F-HR/A LMR Partners LLP * 181,941 0 -100.00 66 0 -100.00
2016-08-01 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM * 498,486 0 -100.00 210 0 -100.00
2017-05-15 13F-HR INVESTMENT CENTERS OF AMERICA INC * 25,000 25,050 0.20 8 16 100.00
2017-04-24 13F-HR Crestwood Advisors LLC * 35,000 23
2017-07-12 13F-HR Creative Planning * 17,500 18,200 4.00 11 11 0.00
2017-05-15 13F-HR Commonwealth Equity Services, Inc * 413,261 417,761 1.09 127 273 114.96
2017-04-28 13F-HR WELLS FARGO & COMPANY/MN * 38,378 228,628 495.73 12 149 1,141.67
2017-04-25 13F-HR ACADIAN ASSET MANAGEMENT LLC * 724,107 473
2016-08-10 13F-HR BlackRock Investment Management, LLC * 862,700 0 -100.00 363 0 -100.00
2017-05-08 13F-HR ASSETMARK, INC * 271 0 -100.00 0 0
2017-05-08 13F-HR Nine Chapters Capital Management LLC * 184,700 134,200 -27.34 57 88 54.39
2017-05-15 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC * 102,700 80,400 -21.71 32 53 65.63
2016-08-15 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC * 0 0 0.00 0 0
2016-11-14 13F-HR BARCLAYS PLC * 3,822 0 -100.00 1 0 -100.00
2017-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC * 25,600 10,600 -58.59 8 7 -12.50
2017-05-12 13F-HR Sterling Global Strategies LLC * 20,000 10,000 -50.00 6 7 16.67
2017-05-12 13F-HR VANGUARD GROUP INC * 4,308,595 6,180,624 43.45 1,329 4,042 204.14
2017-02-10 13F-HR BlackRock Fund Advisors * 41,230 53,110 28.81 18 16 -11.11
2017-05-15 13F-HR PERCEPTIVE ADVISORS LLC * 24,332 24,332 0.00 8 16 100.00
2017-06-20 SC 13D/A Ronin Capital, LLC * 20,814,248 23,144,559 11.20
2016-11-08 13F-HR NEW YORK STATE COMMON RETIREMENT FUND * 51,500 0 -100.00 19 0 -100.00
2017-05-15 13F-HR DEUTSCHE BANK AG\ * 59,457 0 -100.00 18 0 -100.00
2017-07-10 13F-HR Berson & Corrado Investment Advisors, LLC * 15,000 15,000 0.00 10 9 -10.00
2017-04-26 13F-HR IFP Advisors, Inc * 10,000 25,000 150.00 3 16 433.33
2017-05-12 13F-HR CITADEL ADVISORS LLC * Put 26,500 17
2016-08-15 13F-HR Voya Investment Management LLC * 134,571 0 -100.00 57 0 -100.00
2016-11-14 13F-HR Paloma Partners Management Co * 854,793 0 -100.00 311 0 -100.00
2017-05-15 13F-HR Advisor Group, Inc. * 16,000 16,800 5.00 5 11 120.00
2017-07-20 SC 13G Tappan Street Partners LLC * 2,298,684
2017-05-12 13F-HR KCG HOLDINGS, INC. * 22,939 238,906 941.48 7 156 2,128.57
2017-05-05 13F-HR AMERIPRISE FINANCIAL INC * 13,388 0 -100.00 4 0 -100.00
2017-05-15 13F-HR SYNOVUS FINANCIAL CORP * 14,040 9
2017-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * 71,411 0 -100.00 22 0
2017-07-12 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC * 57,700 57,700 0.00 37 37 0.00
2017-05-15 13F-HR AQR CAPITAL MANAGEMENT LLC * 190,991 190,991 0.00 59 125 111.86
2017-05-10 13F-HR JP MORGAN CHASE & CO * 30,000 30,000 0.00 9 20 122.22
2017-05-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE * 6,637 6,637 0.00 2 4 100.00
2016-08-11 13F-HR RHUMBLINE ADVISERS * 172,643 0 -100.00 73 0 -100.00
2017-05-09 13F-HR Bruderman Asset Management, LLC * 1,100 0 -100.00 0 0
2016-08-12 13F-HR Apriem Advisors * 4 0 -100.00 0 0
2017-04-24 13F-HR Baxter Brothers Inc * 139,100 150,500 8.20 43 98 127.91
2016-11-15 13F-HR CREDIT SUISSE AG/ * 437,513 0 -100.00 159 0 -100.00
2017-05-12 13F-HR Renaissance Technologies LLC * 2,473,846 3,077,652 24.41 763 2,013 163.83
2017-07-18 13F-HR Advocacy Wealth Management Services, LLC * 1 0 -100.00 0 0
2017-04-24 13F-HR Sigma Planning Corp * 20,193 35,000 73.33 6 23 283.33
2017-05-15 13F-HR RAYMOND JAMES & ASSOCIATES * 20,556 0 -100.00 6 0 -100.00
2017-05-10 13F-HR GROUP ONE TRADING, L.P. * Call 0 6,300 0.00 0 4
2017-02-10 13F-HR BlackRock Advisors LLC * 499,736 453,185 -9.32 215 140 -34.88
2017-05-15 13F-HR GOLDMAN SACHS GROUP INC * 0 0
2017-04-19 13F-HR Feltz Wealth PLAN Inc. * 7,600 0 -100.00 3,240 0 -100.00
2016-08-16 13F-HR AMALGAMATED BANK * 21,696 0 -100.00 9 0 -100.00
2016-08-11 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC * 660,088 0 -100.00 278 0 -100.00
2017-04-26 13F-HR Russell Investments Group, Ltd. * 322,451 210
2016-08-12 13F-HR GUYASUTA INVESTMENT ADVISORS INC * 18,540 0 -100.00 7 0 -100.00
2017-02-10 13F-HR BlackRock Institutional Trust Company, N.A. * 4,082,096 4,236,805 3.79 1,755 1,307 -25.53
2016-08-10 13F-HR Ameritas Investment Partners, Inc. * 11,824 0 -100.00 5 0 -100.00
2017-05-10 13F-HR STIFEL FINANCIAL CORP * 17,160 24,800 44.52 4 16 300.00
2017-05-15 13F-HR STATE STREET CORP * 101,617 101,617 0.00 31 67 116.13
2017-05-10 13F-HR WFG Advisors, LP * 8 8 0.00 0 0
2017-05-12 13F-HR D.A. DAVIDSON & CO. * 3,200 2
2017-05-09 13F-HR United Asset Strategies, Inc. * 11,000 0 -100.00 3 0 -100.00
2016-08-09 13F-HR PRUDENTIAL FINANCIAL INC * 11,200 0 -100.00 5 0 -100.00
2017-05-15 13F-HR QS Investors, LLC * 503,400 503,400 0.00 155 329 112.26
2017-05-12 13F-HR UBS Group AG * 20,307 32,387 59.49 6 21 250.00
2017-04-11 13F-HR Cutler Group LP * 1,000 1,000 0.00 0 0
2017-01-13 13F-HR MetLife Securities, Inc * 6,000 6,000 0.00 3 2 -33.33
2017-05-15 13F-HR MILLENNIUM MANAGEMENT LLC * 0 64,392 0 42
2016-08-10 13F-HR BlackRock Japan Co. Ltd * 3,790 0 -100.00 2 0 -100.00
2017-05-12 13F-HR BlackRock Inc. * 0 5,988,062 0 3,916
2017-05-12 13F-HR CITADEL ADVISORS LLC * Call 13,400 9
2017-05-12 13F-HR NORTHERN TRUST CORP * 370,891 415,847 12.12 115 272 136.52
2016-10-07 13F-HR SIMPLEX TRADING, LLC * 100 0 -100.00 0 0 -100.00
2016-11-08 13F-HR Airain ltd * 22,940 0 -100.00 8 0 -100.00
2017-05-09 13F-HR Hanson McClain, Inc. * 4,800 4,800 0.00 1 3 200.00
2017-02-14 13F-HR D. E. Shaw & Co., Inc. * 638,962 0 -100.00 275 0 -100.00

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