Institutional and Fund Ownership

SecurityPPHM / Peregrine Pharmaceuticals, Inc.
President & CEOKING STEVEN W
Institutional Owners59
Institutional Shares64,332,220
Related PPHMP / Peregrine Pharmaceuticals, 10.50% Ser E Cumulative Convertible Preferred Stock

Peregrine Pharmaceuticals, Inc. (NASDAQ:PPHM) has 59 institutional investors that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 64,332,220 shares. Major holders include Ronin Capital, LLC, Kennedy Capital Management, Inc., Vanguard Group Inc, BlackRock Inc., and Renaissance Technologies LLC.


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. Click an asterisk (*) 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)
2017-08-15 13F-HR Raymond James Financial Services Advisors, Inc. * 36,400 36,400 0.00 24 22 -8.33
2017-08-02 13F-HR Sigma Planning Corp * 35,000 35,000 0.00 23 21 -8.70
2017-05-09 13F-HR Bruderman Asset Management, LLC * 1,100 0 -100.00 0 0
2017-08-14 13F-HR GROUP ONE TRADING, L.P. * Call 13,300 8
2017-08-14 13F-HR STATE STREET CORP * 101,617 101,617 0.00 67 63 -5.97
2017-08-14 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC * 593,200 576,897 -2.75 388 351 -9.54
2017-07-27 13F-HR Spark Investment Management LLC * 128,600 78
2017-08-14 13F-HR AQR CAPITAL MANAGEMENT LLC * 190,991 190,991 0.00 125 116 -7.20
2017-08-09 13F-HR KENNEDY CAPITAL MANAGEMENT, INC. * 8,730,392 9,758,459 11.78 5,710 5,933 3.91
2017-05-19 13F-HR Tower Research Capital LLC (TRC) * 64,560 0 -100.00 20 0 -100.00
2017-05-12 13F-HR GLOBEFLEX CAPITAL L P * 1,310 0 -100.00 0 0
2017-08-09 13F-HR BRANDES INVESTMENT PARTNERS, LP * 89,100 89,100 0.00 58 54 -6.90
2017-08-08 13F-HR Airain ltd * 0 42,362 0 26
2017-08-14 13F-HR UBS Group AG * 32,387 35,327 9.08 21 21 0.00
2017-08-14 13F-HR PERCEPTIVE ADVISORS LLC * 24,332 24,332 0.00 16 15 -6.25
2017-08-14 13F-HR QS Investors, LLC * 503,400 503,400 0.00 329 306 -6.99
2017-07-18 13F-HR Advocacy Wealth Management Services, LLC * 1 0 -100.00 0 0
2017-08-11 13F-HR Renaissance Technologies LLC * 3,077,652 3,368,052 9.44 2,013 2,048 1.74
2017-08-14 SC 13G/A Tappan Street Partners LLC * 2,298,684 2,298,684 0.00
2017-05-15 13F-HR RAYMOND JAMES & ASSOCIATES * 20,556 0 -100.00 6 0 -100.00
2017-07-25 13F-HR ACADIAN ASSET MANAGEMENT LLC * 724,107 0 -100.00 473 0 -100.00
2017-08-14 13F-HR WOLVERINE TRADING, LLC * 26,481 0 -100.00 18 0 -100.00
2017-08-10 13F-HR WELLS FARGO & COMPANY/MN * 228,628 338,378 48.00 149 206 38.26
2017-08-14 13F-HR WOLVERINE TRADING, LLC * Call 31,500 0 -100.00 21 0 -100.00
2017-07-31 13F-HR IFP Advisors, Inc * 25,000 0 -100.00 16 0 -100.00
2017-07-28 13F-HR Financial Management Professionals, Inc. * 220 220 0.00 0 0
2017-08-11 13F-HR CITADEL ADVISORS LLC * Call 13,400 10,700 -20.15 9 7 -22.22
2017-08-14 13F-HR ROYAL BANK OF CANADA * 4,400 6,500 47.73 3 4 33.33
2017-08-11 13F-HR Bandera Partners LLC * 1,421,000 864
2017-05-15 13F-HR Fondren Management LP * 4,500,000 0 -100.00 1,388 0 -100.00
2017-04-11 13F-HR Cutler Group LP * 1,000 1,000 0.00 0 0
2017-04-19 13F-HR Feltz Wealth PLAN Inc. * 7,600 0 -100.00 3,240 0 -100.00
2017-08-14 13F-HR LPL Financial LLC * 10,744 10,888 1.34 7 7 0.00
2017-08-11 13F-HR PNC FINANCIAL SERVICES GROUP, INC. * 1,000 1,000 0.00 1 1 0.00
2017-08-11 13F-HR CITIGROUP INC * 2,990 2,990 0.00 2 2 0.00
2017-08-10 13F-HR BlackRock Inc. * 5,988,062 5,642,043 -5.78 3,916 3,430 -12.41
2017-08-14 13F-HR GROUP ONE TRADING, L.P. * 26,848 18,144 -32.42 18 11 -38.89
2017-08-14 13F-HR BANK OF AMERICA CORP /DE/ * 36,770 36,200 -1.55 24 22 -8.33
2017-07-12 13F-HR Creative Planning * 17,500 18,200 4.00 11 11 0.00
2017-08-07 13F-HR Hanson McClain, Inc. * 4,800 0 -100.00 3 0 -100.00
2017-07-31 13F-HR Nine Chapters Capital Management LLC * 134,200 0 -100.00 88 0 -100.00
2017-08-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC * 10,600 7,100 -33.02 7 5 -28.57
2017-08-11 13F-HR CITADEL ADVISORS LLC * 205,651 357,048 73.62 134 218 62.69
2017-08-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * Call 22,700 11,700 -48.46 15 7 -53.33
2017-08-11 13F-HR NORTHERN TRUST CORP * 415,847 454,451 9.28 272 276 1.47
2017-05-09 13F-HR United Asset Strategies, Inc. * 11,000 0 -100.00 3 0 -100.00
2017-08-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE * 6,637 0 -100.00 4 0 -100.00
2017-08-02 13F-HR Sterling Global Strategies LLC * 10,000 20,000 100.00 7 12 71.43
2017-09-20 13F-HR/A-1 LEVEL FOUR ADVISORY SERVICES, LLC * 57,700 57,700 0.00 37 37 0.00
2017-08-09 13F-HR JP MORGAN CHASE & CO * 30,000 30,000 0.00 20 18 -10.00
2017-08-11 13F-HR INVESTMENT CENTERS OF AMERICA INC * 25,050 25,050 0.00 16 15 -6.25
2017-09-15 13F-HR/A-1 ASSETMARK, INC * 271 0 -100.00 0 0
2017-08-11 13F-HR KCG HOLDINGS, INC. * 238,906 20,834 -91.28 156 13 -91.67
2017-08-11 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM * 479,800 479,800 0.00 314 292 -7.01
2017-08-11 13F-HR FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC * 10,000 6
2017-08-07 13F-HR Burt Wealth Advisors * 0 2,000 0 1
2017-08-14 13F-HR Brown Advisory Securities, LLC * 580,000 580,000 0.00 379 353 -6.86
2017-08-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC * 80,400 0 -100.00 53 0 -100.00
2017-08-11 13F-HR CITADEL ADVISORS LLC * Put 26,500 12,300 -53.58 17 7 -58.82
2017-07-31 13F-HR Crestwood Advisors LLC * 35,000 0 -100.00 22 0 -100.00
2017-08-01 13F-HR ROCKLAND TRUST CO * 15,000 15,000 0.00 10 9 -10.00
2017-08-14 13F-HR Connor, Clark & Lunn Investment Management Ltd. * 69,925 0 -100.00 46 0 -100.00
2017-08-14 13F-HR Squarepoint Ops LLC * 42,400 146,100 244.58 28 89 217.86
2017-08-01 13F-HR Baxter Brothers Inc * 150,500 150,500 0.00 98 92 -6.12
2017-08-18 13F-HR WFG Advisors, LP * 8 0 -100.00 0 0
2017-07-12 13F-HR SIMPLEX TRADING, LLC * Call 17 0
2017-08-09 13F-HR SYNOVUS FINANCIAL CORP * 14,040 14,040 0.00 9 9 0.00
2017-08-14 13F-HR GUGGENHEIM CAPITAL LLC * 75,288 75,288 0.00 49 46 -6.12
2017-08-11 13F-HR MORGAN STANLEY * 429,750 68,012 -84.17 281 41 -85.41
2017-06-20 SC 13D/A Ronin Capital, LLC * 20,814,248 23,144,559 11.20
2017-05-15 13F-HR DEUTSCHE BANK AG\ * 59,457 0 -100.00 18 0 -100.00
2017-05-18 13F-HR/A-1 GOLDMAN SACHS GROUP INC * 318,605 0 -100.00 98 0 -100.00
2017-07-10 13F-HR Berson & Corrado Investment Advisors, LLC * 15,000 15,000 0.00 10 9 -10.00
2017-07-31 13F-HR SEI INVESTMENTS CO * 0 560 0 0
2017-08-14 13F-HR MILLENNIUM MANAGEMENT LLC * 64,392 28,901 -55.12 42 18 -57.14
2017-08-24 13F-HR/A-1 VANGUARD GROUP INC * 6,180,624 7,208,139 16.62 4,042 4,382 8.41
2017-07-25 13F-HR Russell Investments Group, Ltd. * 322,451 0 -100.00 210 0 -100.00
2017-08-11 13F-HR D.A. DAVIDSON & CO. * 3,200 0 -100.00 2 0 -100.00
2017-08-11 13F-HR Advisor Group, Inc. * 16,800 17,000 1.19 11 10 -9.09
2017-08-11 13F-HR Commonwealth Equity Services, Inc * 417,761 425,254 1.79 273 258 -5.49
2017-07-14 13F-HR Eqis Capital Management, Inc. * 1,042,372 1,052,770 1.00 678 642 -5.31
2017-08-14 13F-HR STIFEL FINANCIAL CORP * 24,800 24,800 0.00 16 15 -6.25
2017-07-14 SC 13D/A STAFFORD JOHN S III * 23,144,559 3,310,651 -85.70
2017-05-05 13F-HR AMERIPRISE FINANCIAL INC * 13,388 0 -100.00 4 0 -100.00
2017-08-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC * 1,437,491 1,579,723 9.89 940 960 2.13
2017-05-16 13F-HR Delaney Dennis R * 10,000 0 -100.00 4 0 -100.00
2017-08-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP * 0 105,627 0 64
2017-08-03 13F-HR Ballentine Partners, LLC * 25,001 113
2017-08-03 13F-HR Bank of New York Mellon Corp * 198,296 195,528 -1.40 129 119 -7.75
CUSIP: 713661304