SecuritySGEN / Seattle Genetics, Inc. (812578102)
President and CEOSIEGALL CLAY B
IndustryBiological Products, Except Diagnostic Substances (Biotech)
Institutional Owners427 (135 N-Q Owners)
Institutional Shares167,280,194 - 105.72% (ex. N-Q)
Institutional Value$ 47,835,721,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

SGEN / Seattle Genetics, Inc. Institutional Ownership

Seattle Genetics, Inc. (NASDAQ:SGEN) has 427 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 167,280,194 shares. Largest shareholders include Baker Brothers Advisors LP, Baillie Gifford & Co, Primecap Management Co/ca/, Wellington Management Group LLP, Price T Rowe Associates Inc /md/, Vanguard Group Inc, BlackRock Inc., Capital International Investors, FMR LLC / Fidelity, and Matrix Capital Management Company, LP.
Seattle Genetics, Inc. (NASDAQ:SGEN) ownership structure 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
($1000)
Current Value
($1000)
Change
(Percent)
2018-05-15 13F-HR TWO SIGMA INVESTMENTS LLC 192,187 0 -100.00 10,282 0 -100.00
2018-04-26 13F-HR SIMPLEX TRADING, LLC 0 10,962 0 573
2018-05-02 13F-HR Tradewinds Capital Management, LLC 2,344 2,137 -8.83 125 112 -10.40
2018-05-14 13F-HR HOWE & RUSLING INC 40 240 500.00 2 13 550.00
2018-05-11 13F-HR VAN ECK ASSOCIATES CORP 130,363 135,181 3.70 6,974 7,075 1.45
2018-05-02 13F-HR Global X Management CO LLC 1,951 2,468 26.50 104 129 24.04
2018-05-29 N-Q Spdr Series Trust (see advisory)
2018-05-15 13F-HR Walleye Trading LLC Put 0 89,800 0 4,700
2018-05-15 13F-HR Magnetar Financial LLC 26,039 0 -100.00 1,393 0 -100.00
2018-05-30 N-Q Profunds (see advisory)
2018-05-23 13F-HR/A Allianz Asset Management AG 49,847 48,615 -2.47 2,667 2,544 -4.61
2018-05-29 N-Q State Street Institutional Investment Trust (see advisory)
2018-05-15 13F-HR Man Group plc 13,437 703
2018-05-01 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 283,248 284,301 0.37 15,154 14,880 -1.81
2018-05-03 13F-HR ADIRONDACK TRUST CO 100 100 0.00 5 5 0.00
2018-05-21 13F-HR/A PLATINUM INVESTMENT MANAGEMENT LTD 40,500 40,500 0.00 2,166 2,119 -2.17
2018-05-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 4,860 4,663 -4.05 260 244 -6.15
2018-05-29 N-Q Franklin Templeton Variable Insurance Products Trust (see advisory)
2018-05-25 N-Q Eq Advisors Trust (see advisory)
2018-02-15 13F-HR/A Sabby Management, LLC 42,646 0 -100.00 2,320 0 -100.00
2018-05-15 13F-HR QS Investors, LLC 3,511 3,511 0.00 188 184 -2.13
2018-05-15 13F-HR WOLVERINE TRADING, LLC Put 17,300 8,800 -49.13 926 461 -50.22
2018-05-09 13F-HR IFP Advisors, Inc 200 0 -100.00 11 0 -100.00
2018-02-08 13F-HR MUFG Americas Holdings Corp 100 0 -100.00 5 0 -100.00
2018-04-11 13F-HR Capital Impact Advisors, LLC 40,495 0 -100.00 2,166 0 -100.00
2018-05-22 13F-HR NBT BANK N A /NY 6,241 4,241 -32.05 334 222 -33.53
2018-05-10 13F-HR JP Morgan Chase & Co Put 86,000 0 -100.00 4,601 0 -100.00
2018-05-22 N-Q Blackrock Health Sciences Trust (see advisory)
2018-05-14 13F-HR Holistic Financial Partners 585 620 5.98 31 32 3.23
2018-05-24 N-Q Penn Series Funds Inc (see advisory)
2018-05-10 13F-HR Avestar Capital, Llc 117 81 -30.77 3 2 -33.33
2018-05-07 13F-HR EATON VANCE MANAGEMENT 5,000 262
2018-04-02 N-Q John Hancock Exchange-traded Fund Trust (see advisory)
2018-05-15 13F-HR TWO SIGMA ADVISERS, LP 185,624 116,824 -37.06 9,931 6,115 -38.43
2018-04-30 13F-HR HUNTINGTON NATIONAL BANK 500 500 0.00 27 26 -3.70
2018-01-16 13F-HR NEXT Financial Group, Inc 50 0 -100.00 3 0 -100.00
2018-05-15 13F-HR ELLINGTON MANAGEMENT GROUP LLC 0 7,900 0 413
2018-05-15 13F-HR D. E. Shaw & Co., Inc. 27,879 168,554 504.59 1,492 8,822 491.29
2018-05-14 13F-HR Tekla Capital Management LLC 223,700 346,499 54.89 11,968 18,136 51.54
2018-04-05 13F-HR WHALEROCK POINT PARTNERS, LLC 34,950 34,925 -0.07 1,870 1,828 -2.25
2018-05-15 13F-HR Lagoda Investment Management, L.P. 306,576 112,147 -63.42 16,402 5,870 -64.21
2018-05-11 13F-HR Cutler Group LP Put 14,500 2,500 -82.76 16 13 -18.75
2018-04-26 13F-HR JFS WEALTH ADVISORS, LLC 275 275 0.00 15 14 -6.67
2018-05-14 13F-HR Nuveen Asset Management, LLC 13,012 0 -100.00 696 0 -100.00
2018-05-15 13F-HR Iguana Healthcare Management, LLC 17,500 916
2018-05-14 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 235 799 240.00 13 42 223.08
2018-05-30 N-Q Vanguard Tax-managed Funds (see advisory)
2018-05-11 13F-HR Mitsubishi UFJ Trust & Banking Corp 1,010,308 1,054,182 4.34 54,051 55,176 2.08
2018-05-15 13F-HR FIFTH THIRD BANCORP 134 134 0.00 7 7 0.00
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 264,200 190,700 -27.82 14,135 9,981 -29.39
2018-05-02 13F-HR Daiwa Securities Group Inc. 3,250 4,395 35.23 174 230 32.18
2018-05-30 N-Q Pacific Select Fund (see advisory)
2018-04-27 N-Q Fidelity Mt Vernon Street Trust (see advisory)
2018-05-29 N-Q John Hancock Variable Insurance Trust (see advisory)
2018-03-28 N-Q HARTFORD MUTUAL FUNDS INC/CT (see advisory)
2018-05-15 13F-HR GUGGENHEIM CAPITAL LLC 96,143 98,573 2.53 5,143 5,159 0.31
2018-05-24 N-Q American Funds Insurance Series (see advisory)
2018-04-19 13F-HR State of Alaska, Department of Revenue 7,000 9,710 38.71 374 508 35.83
2018-05-11 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 8,746 6,727 -23.08 468 353 -24.57
2018-01-26 N-Q VANGUARD WORLD FUND (see advisory)
2018-02-07 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 2,005 0 -100.00 109 0 -100.00
2018-05-14 13F-HR NOMURA HOLDINGS INC 5,042 264
2018-05-09 13F-HR Gulf International Bank (UK) Ltd 31,050 30,850 -0.64 1,661 1,614 -2.83
2018-05-10 13F-HR QUADRANT CAPITAL GROUP LLC 162 162 0.00 8 8 0.00
2018-05-15 13F-HR PIEDMONT INVESTMENT ADVISORS LLC 9,366 9,366 0.00 501 490 -2.20
2018-02-15 13F-HR Bb&t Investment Services, Inc. 22 2
2018-05-15 13F-HR TUDOR INVESTMENT CORP ET AL 23,346 29,932 28.21 1,249 1,567 25.46
2018-02-23 N-Q Tekla Life Sciences Investors (see advisory)
2018-05-02 13F-HR Mitsubishi UFJ Asset Management Co., Ltd. 13,409 13,982 4.27 759 732 -3.56
2018-05-14 13F-HR ProShare Advisors LLC 80,142 75,747 -5.48 4,288 3,965 -7.53
2018-01-23 N-Q Advisors Series Trust (see advisory)
2018-05-23 N-Q Brighthouse Funds Trust Ii (see advisory)
2018-05-29 N-Q Principal Exchange-traded Funds (see advisory)
2018-05-22 N-Q Master Investment Portfolio (see advisory)
2018-05-14 13F-HR RAYMOND JAMES & ASSOCIATES 5,800 9,220 58.97 310 483 55.81
2018-05-15 13F-HR NEXTHERA CAPITAL LP 0 362,974 0 18,998
2018-02-05 13F-HR Archon Partners LLC 6,420 0 -100.00 349 0 -100.00
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ Put 50,000 0 -100.00 2,721 0 -100.00
2018-04-19 13F-HR Tributary Capital Management, LLC 17,400 24,800 42.53 931 1,298 39.42
2018-05-15 13F-HR Quantitative Investment Management, LLC 25,900 0 -100.00 1,385 0 -100.00
2018-05-15 13F-HR CREDIT SUISSE AG/ 134,621 115,478 -14.22 7,202 6,044 -16.08
2018-05-25 N-Q Wells Fargo Funds Trust (see advisory)
2018-01-26 N-Q Sei Catholic Values Trust (see advisory)
2018-05-01 13F-HR Westpac Banking Corp 8,304 8,304 0.00 444,265 434,632 -2.17
2018-03-29 N-Q Aim Investment Funds (invesco Investment Funds) (see advisory)
2018-03-27 N-Q Transamerica Funds (see advisory)
2018-05-14 13F-HR COMMONWEALTH BANK OF AUSTRALIA 100 100 0.00 5 5 0.00
2018-05-07 13F-HR AMERICAN INTERNATIONAL GROUP INC 2,266 4,045 78.51 121 212 75.21
2018-05-11 13F-HR SEI INVESTMENTS CO 13,379 9,746 -27.15 716 510 -28.77
2018-05-10 13F-HR FRANKLIN RESOURCES INC 102,400 108,400 5.86 5,478 5,674 3.58
2018-02-22 N-Q Tributary Funds, Inc. (see advisory)
2018-04-20 13F-HR Steward Partners Investment Advisory, Llc 70 70 0.00 3 3 0.00
2018-05-15 13F-HR Squarepoint Ops LLC 56,495 70,766 25.26 3,022 3,704 22.57
2018-03-29 N-Q Russell Investment Co (see advisory)
2018-04-23 13F-HR World Asset Management Inc 4,346 3,870 -10.95 233 203 -12.88
2018-05-14 13F-HR ALLIANCEBERNSTEIN L.P. 56,891 159,127 179.71 3,044 8,329 173.62
2018-02-12 13F-HR Quantbot Technologies LP 2,654 0 -100.00 144 0 -100.00
2018-05-15 13F-HR Cubist Systematic Strategies, LLC 10,155 3,735 -63.22 543 195 -64.09
2018-05-04 13F-HR Financial Gravity Companies, Inc. 1,761 22 -98.75 92 1 -98.91
2018-05-15 13F-HR PEAK6 Investments, L.P. Put 19,900 19,500 -2.01 1,065 1,021 -4.13
2018-05-15 13F-HR Weiss Multi-Strategy Advisers LLC 5,000 20,000 300.00 268 1,047 290.67
2018-05-15 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 155,684 165,312 6.18 8,329 8,652 3.88
2018-02-14 13F-HR Sio Capital Management, LLC Put 100,000 0 -100.00 5,441 0 -100.00
2018-02-14 13F-HR NUMERIC INVESTORS LLC 0 14,200 0 760
2018-05-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 104,579 106,975 2.29 5,595 5,599 0.07
2018-05-29 N-Q HARTFORD SERIES FUND INC (see advisory)
2018-05-11 13F-HR OPPENHEIMER FUNDS INC 1,000,153 1,000,153 0.00 53,508 52,348 -2.17
2018-05-15 13F-HR BARCLAYS PLC Put 23,800 9,200 -61.34 1,274 481 -62.24
2018-03-29 N-Q Powershares Exchange Traded Fund Trust (see advisory)
2018-05-15 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 64,142 62,908 -1.92 3,432 3,293 -4.05
2018-05-14 13F-HR RMB Capital Management, LLC 48,284 44,284 -8.28 2,583 2,318 -10.26
2018-04-25 13F-HR PICTET ASSET MANAGEMENT LTD 1,182,508 786,323 -33.50 63,264 41,156 -34.95
2018-02-15 13F-HR/A Sabby Management, LLC Put 1,734 0 -100.00 9,435 0 -100.00
2018-05-15 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 7,147 7,869 10.10 382 411,864 107,717.80
2018-05-15 13F-HR CAPITAL FUND MANAGEMENT S.A. 0 14,321 0 750
2018-03-29 N-Q Mainstay Funds Trust (see advisory)
2018-05-15 13F-HR UBS Group AG 123,099 256,549 108.41 6,586 13,428 103.89
2018-05-11 13F-HR CITIGROUP INC Call 18,000 1,700 -90.56 963 89 -90.76
2018-05-01 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 20,979 20,183 -3.79 1,122 1,056 -5.88
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Call 25,600 18,000 -29.69 1,370 942 -31.24
2018-05-30 N-Q Aim Variable Insurance Funds (invesco Variable Insurance Funds) (see advisory)
2018-05-15 13F-HR Holocene Advisors, Lp 4,677 245
2018-05-07 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 15,709 21,754 38.48 840 1,139 35.60
2018-05-15 13F-HR DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 87,200 4,564
2018-05-24 N-Q Fqf Trust (see advisory)
2018-04-02 N-Q Etfis Series Trust I (see advisory)
2018-05-02 13F-HR D.b. Root & Company, Llc 9,555 500
2018-04-30 N-Q Sei Institutional Investments Trust (see advisory)
2018-04-17 13F-HR PIONEER TRUST BANK N A/OR 10,000 10,000 0.00 535 523 -2.24
2018-05-14 13F-HR Bayesian Capital Management, LP 3,800 0 -100.00 203 0 -100.00
2018-05-16 13F-HR ASSETMARK, INC 475 424 -10.74 25 22 -12.00
2018-05-15 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 109,810 72,010 -34.42 5,875 3,769 -35.85
2018-05-02 13F-HR Verity Asset Management, Inc. 5,090 5,511 8.27 266 288 8.27
2018-02-28 N-Q Pacific Funds Series Trust (see advisory)
2018-04-17 13F-HR Calton & Associates, Inc. 500 0 -100.00 28 0 -100.00
2018-05-15 13F-HR Mariner Wealth Advisors, LLC 12,778 669
2018-05-11 13F-HR HSBC HOLDINGS PLC 11,751 0 -100.00 629 0 -100.00
2018-05-02 13F-HR WASATCH ADVISORS INC 979,393 973,379 -0.61 52,398 50,947 -2.77
2018-02-09 13F-HR Artal Group S.A. Call 100,000 0 -100.00 5,441 0 -100.00
2018-05-30 N-Q Forethought Variable Insurance Trust (see advisory)
2018-05-15 13F-HR KEYBANK NATIONAL ASSOCIATION/OH 7,461 8,414 12.77 399 440 10.28
2018-05-30 N-Q Vanguard Valley Forge Funds (see advisory)
2018-03-30 N-Q Franklin Strategic Series (see advisory)
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-04-27 N-Q Global X Funds (see advisory)
2018-05-23 N-Q Brighthouse Funds Trust I (see advisory)
2018-04-27 N-Q Fidelity Concord Street Trust (see advisory)
2018-04-23 13F-HR Financial Architects, Inc 856 856 0.00 46 45 -2.17
2018-05-15 13F-HR Krilogy Financial LLC 300 300 0.00 16 16 0.00
2018-02-16 13F-HR/A Commonwealth Equity Services, Inc 6,042 6,042 0.00 313 329 5.11
2018-05-10 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 255,400 267,200 4.62 13,664 13,985 2.35
2018-02-28 N-Q Seasons Series Trust (see advisory)
2018-05-08 13F-HR Aperio Group, LLC 26,207 26,562 1.35 1,402 1,390 -0.86
2018-05-14 13F-HR Shell Asset Management Co 4,998 4,998 0.00 267 262 -1.87
2018-05-08 13F-HR Sivik Global Healthcare LLC 27,500 0 -100.00 1,471 0 -100.00
2018-05-14 13F-HR EMORY UNIVERSITY 31,683 48,079 51.75 1,695 2,516 48.44
2018-04-20 13F-HR FIRST QUADRANT L P/CA 1,000 1,000 0.00 54 52 -3.70
2018-05-18 N-Q Thrivent Series Fund Inc (see advisory)
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC Put 30,000 0 -100.00 1,632 0 -100.00
2018-05-15 13F-HR STATE STREET CORP 2,837,281 3,140,904 10.70 151,794 164,392 8.30
2018-03-30 N-Q Fidelity Salem Street Trust (see advisory)
2018-01-16 13F-HR 440 INVESTMENT GROUP, LLC 25,480 12,730 -50.04 1,386 681 -50.87
2018-05-15 13F-HR TLP GROUP LLC 361 1 -99.72 19 0 -100.00
2018-05-14 13F-HR VIRTUS ETF ADVISERS LLC 18,503 17,480 -5.53 990 915 -7.58
2018-05-09 13F-HR BlackRock Inc. 7,756,494 8,492,963 9.49 414,975 444,521 7.12
2018-05-15 13F-HR Verition Fund Management LLC 4,622 0 -100.00 247 0 -100.00
2018-05-15 13F-HR PIONEER INVESTMENT MANAGEMENT INC 26,554 21,523 -18.95 1,421 1,127 -20.69
2018-02-27 N-Q Vaneck Vectors Etf Trust (see advisory)
2018-01-29 13F-HR/A BAILARD, INC. 5,000 0 -100.00 224 0 -100.00
2018-01-26 N-Q Fidelity Select Portfolios (see advisory)
2018-04-20 13F-HR LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 505 505 0.00 27 26 -3.70
2018-05-30 N-Q Vanguard Variable Insurance Funds (see advisory)
2018-03-30 N-Q Tocqueville Trust (see advisory)
2018-04-23 13F-HR FIRST TRUST ADVISORS LP 633,794 883,173 39.35 33,908 46,225 36.32
2018-02-15 13F-HR/A Sabby Management, LLC Call 542 0 -100.00 2,949 0 -100.00
2018-05-15 13F-HR WOLVERINE TRADING, LLC Call 37,100 11,100 -70.08 1,985 581 -70.73
2018-05-11 13F-HR TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 84,964 4,447
2018-05-08 13F-HR STEVENS CAPITAL MANAGEMENT LP 9,492 0 -100.00 508 0 -100.00
2018-05-30 N-Q Gateway Trust (see advisory)
2018-05-29 N-Q Ironbridge Funds, Inc. (see advisory)
2018-05-29 N-Q Hartford Hls Series Fund Ii Inc (see advisory)
2018-05-14 13F-HR Nissay Asset Management Corp /japan/ /adv 7,195 7,885 9.59 386 413 6.99
2018-05-03 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 64 73 14.06 3 4 33.33
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Put 183,300 7,600 -95.85 9,807 398 -95.94
2018-05-15 13F-HR EARNEST PARTNERS LLC 35 35 0.00 2 2 0.00
2018-05-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 462,058 322,432 -30.22 24,720 16,876 -31.73
2018-05-14 13F-HR BROWN ADVISORY INC 33,938 29,145 -14.12 1,815 1,526 -15.92
2018-05-22 N-Q Blackrock Funds Iii (see advisory)
2018-05-15 13F-HR PANAGORA ASSET MANAGEMENT INC 6,354 4,230 -33.43 340 221 -35.00
2018-03-27 N-Q Schwab Investments (see advisory)
2018-05-15 13F-HR CAPITAL GUARDIAN TRUST CO 1,301,122 1,373,150 5.54 69,610 71,871 3.25
2018-05-29 N-Q Wilshire Mutual Funds Inc (see advisory)
2018-02-28 N-Q NEW PERSPECTIVE FUND (see advisory)
2018-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 1,745 3,995 128.94 93 209 124.73
2018-05-14 13F-HR MORGAN STANLEY 177,696 159,276 -10.37 9,506 8,337 -12.30
2018-04-17 13F-HR FOX RUN MANAGEMENT, L.L.C. 11,186 0 -100.00 598 0 -100.00
2018-05-15 13F-HR Mana Advisors Llc 11,698 0 -100.00 626 0 -100.00
2018-05-30 N-Q Vanguard Index Funds (see advisory)
2018-05-23 N-Q Nationwide Variable Insurance Trust (see advisory)
2018-05-15 13F-HR BARCLAYS PLC Call 5,200 6,100 17.31 278 319 14.75
2018-05-29 N-Q Rydex Variable Trust (see advisory)
2018-02-26 N-Q Blackrock Funds (see advisory)
2018-02-14 13F-HR EcoR1 Capital, LLC 30,000 0 -100.00 1,632 0 -100.00
2018-05-15 13F-HR Advisors Asset Management, Inc. 13,508 13,584 0.56 723 734 1.52
2018-05-15 13F-HR DEUTSCHE BANK AG\ 335,989 510,828 52.04 17,971 26,733 48.76
2018-05-30 N-Q Vanguard Institutional Index Funds (see advisory)
2018-03-01 N-Q Oppenheimer Global Opportunities Fund (see advisory)
2018-05-01 13F-HR COMERICA BANK 3,773 4,968 31.67 211 246 16.59
2018-04-30 13F-HR SHINE INVESTMENT ADVISORY SERVICES INC 202 202 0.00 11 11 0.00
2018-04-18 13F-HR/A Livforsakringsbolaget Skandia, Omsesidigt 1,900 1,900 0.00 102 99 -2.94
2018-05-17 N-Q Guardian Variable Products Trust (see advisory)
2018-04-27 N-Q Valic Co I (see advisory)
2018-05-15 13F-HR Clearbridge Investments, LLC 1,000 1,000 0.00 54 52 -3.70
2018-03-01 N-Q Sei Institutional Managed Trust (see advisory)
2018-05-08 13F-HR MARK SHEPTOFF FINANCIAL PLANNING, LLC 200 200 0.00 11 10 -9.09
2018-02-23 N-Q Wasatch Funds Trust (see advisory)
2018-05-04 13F-HR/A GRANDFIELD & DODD, LLC 11,356 11,006 -3.08 608 576 -5.26
2018-05-15 13F-HR Voya Investment Management LLC 35,052 38,157 8.86 1,875 1,997 6.51
2018-04-24 13F-HR Perennial Advisors, LLC 250 250 0.00 13 13 0.00
2018-05-16 13F-HR GRIFFIN ASSET MANAGEMENT, INC. 4,775 4,775 0.00 255 250 -1.96
2018-05-11 13F-HR Delpha Capital Management, Llc 22 0 -100.00 1 0 -100.00
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC 2,469,888 3,194,102 29.32 132,139 167,180 26.52
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ 453,495 496,573 9.50 24,262 25,990 7.12
2018-04-30 N-Q Trust For Professional Managers (see advisory)
2018-04-30 13F-HR CIBC Asset Management Inc 4,837 4,837 0.00 259 253 -2.32
2018-05-11 13F-HR Cutler Group LP Call 4,600 3,800 -17.39 14 4 -71.43
2018-05-30 N-Q Jpmorgan Trust Ii (see advisory)
2018-04-26 13F-HR SIMPLEX TRADING, LLC Put 374 209 -44.12 67 34 -49.25
2018-05-15 13F-HR Point72 Asia (Hong Kong) Ltd 0 1,558 0 82
2018-05-15 13F-HR Blackhawk Capital Partners Llc. 2,035 1,855 -8.85 109 97 -11.01
2018-02-14 13F-HR AHL Partners LLP 6,015 0 -100.00 327 0 -100.00
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 263,600 137,200 -47.95 14,103 7,181 -49.08
2018-05-15 13F-HR Marshall Wace North America L.P. 95,344 0 -100.00 5,101 0 -100.00
2018-05-02 13F-HR FTB Advisors, Inc. 235 235 0.00 12 11 -8.33
2018-05-15 13F-HR PDT Partners, LLC 242,423 191,912 -20.84 12,970 10,045 -22.55
2018-05-14 13F-HR PROFUND ADVISORS LLC 35,382 35,115 -0.75 1,893 1,838 -2.91
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. Call 45,000 50,000 11.11 2,408 2,617 8.68
2018-05-04 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 2,323 121
2018-05-24 N-Q COLLEGE RETIREMENT EQUITIES FUND (see advisory)
2018-05-15 13F-HR OXFORD ASSET MANAGEMENT 36,823 21,398 -41.89 1,984 1,120 -43.55
2018-04-16 13F-HR Perkins Coie Trust Co 100 100 0.00 5 5 0.00
2018-05-15 13F-HR Bridgewater Associates, LP 0 23,470 0 1,228
2018-05-30 N-Q First Trust Exchange-traded Fund (see advisory)
2018-02-02 13F-HR AMERICAN CENTURY COMPANIES INC 9,816 0 -100.00 534 0 -100.00
2018-05-11 13F-HR CITIGROUP INC Put 42,800 1,500 -96.50 2,290 79 -96.55
2018-05-01 13F-HR WHITTIER TRUST CO OF NEVADA INC 189 189 0.00 10 10 0.00
2018-05-21 13F-HR Summit Trail Advisors, Llc 2,159 107,344 4,871.93 119 107 -10.08
2018-05-09 13F-HR NORTHERN TRUST CORP 557,563 587,640 5.39 29,829 30,758 3.11
2018-04-12 13F-HR GATEWAY INVESTMENT ADVISERS LLC 67,161 70,110 4.39 3,593 3,670 2.14
2018-05-29 N-Q Jnl Series Trust (see advisory)
2018-05-15 13F-HR Advisor Group, Inc. 495 178 -64.04 26 9 -65.38
2018-05-15 13F-HR International Biotechnology Trust Plc 57,500 42,500 -26.09 3,077 2,223 -27.75
2018-05-15 13F-HR PEAK6 Investments, L.P. 7,859 5,280 -32.82 420 276 -34.29
2018-05-15 13F-HR EDMOND DE ROTHSCHILD HOLDING S.A. 580 580 0.00 31 30 -3.23
2018-04-11 13F-HR Rhenman & Partners Asset Management AB 130,000 6,804
2018-05-10 13F-HR Bedell Frazier Investment Counseling, LLC 111,415 5,831
2018-03-29 N-Q Powershares Exchange-traded Fund Trust Ii (see advisory)
2018-04-18 13F-HR Creative Planning 42,417 35,862 -15.45 2,269 1,877 -17.28
2018-05-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 0 136,396 0 7,139
2018-05-15 13F-HR ETF MANAGERS GROUP, LLC 976 1,114 14.14 55 57 3.64
2018-05-14 13F-HR Pacad Investment Ltd. 2,200 2,825 28.41 118 146 23.73
2018-05-14 13F-HR PRINCIPAL FINANCIAL GROUP INC 118,895 129,563 8.97 6,361 6,781 6.60
2018-05-29 N-Q Principal Variable Contracts Funds Inc (see advisory)
2018-05-30 N-Q Oppenheimer Etf Trust (see advisory)
2018-03-28 N-Q Old Westbury Funds Inc (see advisory)
2018-02-26 N-Q Etf Managers Trust (see advisory)
2018-04-30 13F-HR Assenagon Asset Management S.A. 6,047 5,461 -9.69 324 286 -11.73
2018-05-11 13F-HR Omnia Family Wealth, LLC 30 30 0.00 2 2 0.00
2018-05-14 13F-HR AMERIPRISE FINANCIAL INC 7,457 502,872 6,643.62 400 26,320 6,480.00
2018-05-15 13F-HR PEAK6 Investments, L.P. Call 0 500 0 26
2018-05-03 13F-HR TOKIO MARINE ASSET MANAGEMENT CO LTD 29,500 29,500 0.00 1,578 1,544 -2.15
2018-05-15 13F-HR Aevitas Wealth Management, Inc. 200 200 0.00 11 10 -9.09
2018-05-15 13F-HR PATHSTONE FAMILY OFFICE, LLC 330 330 0.00 18 17 -5.56
2018-05-25 N-Q Great-west Funds Inc (see advisory)
2018-05-03 13F-HR Zions Bancorporation 81 16 -80.25 5 1 -80.00
2018-04-27 N-Q Fidelity Commonwealth Trust (see advisory)
2018-05-11 13F-HR TD ASSET MANAGEMENT INC 127,230 154,016 21.05 6,807 8,061 18.42
2018-05-08 13F-HR Parallel Advisors, LLC 65 0 -100.00 3 0 -100.00
2018-05-14 13F-HR NOMURA ASSET MANAGEMENT CO LTD 12,600 14,500 15.08 674 759 12.61
2018-03-28 N-Q Manning & Napier Fund, Inc. (see advisory)
2018-05-15 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 294 0 -100.00 16 0 -100.00
2018-02-09 13F-HR Stanley-Laman Group, Ltd. 3,940 0 -100.00 214 0 -100.00
2018-04-17 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 2,050 107
2018-05-10 13F-HR TORONTO DOMINION BANK 5,901 7,450 26.25 316 390 23.42
2018-05-15 13F-HR ACUTA CAPITAL PARTNERS, LLC Call 80,000 0 -100.00 4,280 0 -100.00
2018-05-02 13F-HR RHUMBLINE ADVISERS 104,611 107,550 2.81 5,597 5,629 0.57
2018-02-13 13F-HR Everett Capital Advisors UK LLP 191,500 0 -100.00 10,420 0 -100.00
2018-05-29 N-Q Anchor Series Trust (see advisory)
2018-02-07 13F-HR BRIGHTON JONES LLC 4,415 0 -100.00 240 0 -100.00
2018-05-25 N-Q Mml Series Investment Fund (see advisory)
2018-05-14 13F-HR Roble, Belko & Company, Inc 785 1,256 60.00 42 66 57.14
2018-05-02 SC 13D/A Baker Brothers Advisors LP 49,818,661 50,831,621 2.03
2018-05-17 13F-HR Legal & General Group Plc 336,747 129,351 -61.59 18,016 6,771 -62.42
2018-05-11 13F-HR CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 5,100 5,300 3.92 273 277 1.47
2018-05-14 13F-HR TEACHERS ADVISORS INC 585,074 321,448 -45.06 31,301 16,825 -46.25
2018-03-01 N-Q Spdr Index Shares Funds (formerly Streettracks Index Shares Funds) (see advisory)
2018-02-28 N-Q VANGUARD HORIZON FUNDS (see advisory)
2018-05-15 13F-HR First City Capital Management, Inc. 5,350 5,350 0.00 286 280 -2.10
2018-04-16 13F-HR Crossmark Global Holdings, Inc. 5,090 0 -100.00 272 0 -100.00
2018-04-04 13F-HR CENTRAL TRUST Co 500 500 0.00 27 26 -3.70
2018-05-07 13F-HR Sullivan, Bruyette, Speros & Blaney, Inc. 6,713 6,734 0.31 359 352 -1.95
2018-04-30 13F-HR Harel Insurance Investments & Financial Services Ltd. 600 0 -100.00 32 0 -100.00
2018-02-28 N-Q Rydex Series Funds (see advisory)
2018-05-07 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 323,051 359,517 11.29 17,284 18,818 8.88
2018-05-10 13F-HR Stratos Wealth Partners, LTD. 1,422 1,213 -14.70 76 63 -17.11
2018-05-14 13F-HR Virtu Financial LLC 0 10,922 0 572
2018-05-11 13F-HR MACQUARIE GROUP LTD 80,700 80,700 0.00 4,897 4,224 -13.74
2018-04-25 13F-HR Sumitomo Mitsui Asset Management Company, LTD 6,223 6,327 1.67 332 331 -0.30
2018-05-10 13F-HR JP Morgan Chase & Co Call 36,000 0 -100.00 1,926 0 -100.00
2018-05-24 N-Q Tiaa Separate Account Va 1 (see advisory)
2018-01-18 N-Q Etf Series Solutions (see advisory)
2018-03-01 N-Q Calvert Responsible Index Series, Inc. (see advisory)
2018-05-10 13F-HR SMITHFIELD TRUST CO 405 0 -100.00 22 0 -100.00
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. 73,360 0 -100.00 3,925 0 -100.00
2018-04-02 N-Q John Hancock Investment Trust (see advisory)
2018-05-15 13F-HR Tower Research Capital LLC (TRC) 763 7,006 818.22 41 367 795.12
2018-05-07 13F-HR FJARDE AP-FONDEN /FOURTH SWEDISH NATIONAL PENSION FUND 32,240 34,540 7.13 1,725 1,808 4.81
2018-05-08 13F-HR US BANCORP \DE\ 15,797 15,392 -2.56 845 806 -4.62
2018-05-10 13F-HR Providence Capital Advisors, Llc 100 100 0.00 5 5 0.00
2018-06-14 13F-HR/A Dynamic Technology Lab Private Ltd 6,186 7,268 17.49 247 380 53.85
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 221,319 228,463 3.23 11,842 11,959 0.99
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 163,419 0 -100.00 8,743 0 -100.00
2018-05-24 N-Q Voya Variable Portfolios Inc (see advisory)
2018-05-03 13F-HR DekaBank Deutsche Girozentrale 84,337 82,866 -1.74 4,002 4,318 7.90
2018-03-05 13F-HR/A NORGES BANK 872,255 1,010,749 15.88 54,830 54,075 -1.38
2018-05-10 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 215,100 205,300 -4.56 11,508 10,745 -6.63
2018-05-10 13F-HR Winfield Associates, Inc. 40 0 -100.00 3 0 -100.00
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 8,381 10,417 24.29 449 546 21.60
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ Call 50,000 0 -100.00 2,721 0 -100.00
2018-02-15 13F-HR Fieldpoint Private Securities, LLC 285 0 -100.00 16 0 -100.00
2018-05-14 13F-HR Pacer Advisors, Inc. 2,100 0 -100.00 112 0 -100.00
2018-05-11 13F-HR LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 16,964 0 -100.00 908 0 -100.00
2018-05-15 13F-HR MILLENNIUM MANAGEMENT LLC 334,921 420,209 25.47 17,918 21,994 22.75
2018-05-24 N-Q Northwestern Mutual Series Fund Inc (see advisory)
2018-01-29 N-Q Consulting Group Capital Markets Funds (see advisory)
2018-05-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 83,400 237,700 185.01 4,462 12,441 178.82
2018-01-30 13F-HR Bristlecone Advisors, LLC 3,300 0 -100.00 180 0 -100.00
2018-05-30 N-Q Nuveen S&p 500 Buywrite Income Fund (see advisory)
2018-05-15 13F-HR LPL Financial LLC 89,158 80,063 -10.20 4,770 4,190 -12.16
2018-05-04 13F-HR PRUDENTIAL FINANCIAL INC 6,091 6,451 5.91 326 338 3.68
2018-05-10 13F-HR JP Morgan Chase & Co 5,492 55,938 918.54 294 2,927 895.58
2018-05-10 13F-HR HALL LAURIE J TRUSTEE 230 230 0.00 12 12 0.00
2018-02-27 N-Q Reynolds Funds Inc (see advisory)
2018-03-29 N-Q Capital Group Private Client Services Funds (see advisory)
2018-05-15 13F-HR Matrix Capital Management Company, LP 3,318,000 3,793,000 14.32 177,513 198,526 11.84
2018-05-11 13F-HR CITIGROUP INC 50,066 16,837 -66.37 2,679 882 -67.08
2018-05-14 13F-HR Partners Capital Investment Group, Llp 25,018 55,223 120.73 1,338 2,890 115.99
2018-04-20 13F-HR STRS OHIO 1,235 1,196 -3.16 66 62 -6.06
2018-05-22 N-Q Blackrock Advantage Global Fund, Inc. (see advisory)
2018-05-15 13F-HR GEODE CAPITAL MANAGEMENT, LLC 862,272 976,886 13.29 46,104 51,089 10.81
2018-05-15 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 400 400 0.00 21 21 0.00
2018-05-15 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC Call 5,000 0 -100.00 70 0 -100.00
2018-05-15 13F-HR BlueCrest Capital Management Ltd 6,280 13,084 108.34 336 685 103.87
2018-05-15 13F-HR Capital International Investors 5,220,580 6,112,110 17.08 279,301 319,908 14.54
2018-05-01 13F-HR Manning & Napier Group, Llc 2,467,908 2,344,045 -5.02 132,032 122,686 -7.08
2018-04-25 N-Q Deutsche Securities Trust (see advisory)
2018-04-26 N-Q Exchange Traded Concepts Trust (see advisory)
2018-05-23 13F-HR Financial Gravity Wealth, Inc. 22 1
2018-05-17 13F-HR Atlantic Trust Group, LLC 9 0
2018-02-14 13F-HR DRW Securities, LLC 8,000 0 -100.00 435 0 -100.00
2018-05-15 13F-HR ACUTA CAPITAL PARTNERS, LLC Put 30,000 0 -100.00 1,605 0 -100.00
2018-03-29 N-Q VANGUARD EXPLORER FUND (see advisory)
2018-04-10 13F-HR Andra AP-fonden 4,100 18,200 343.90 219 953 335.16
2018-05-14 13F-HR FMR LLC / Fidelity 6,425,599 4,197,542 -34.67 343,769 219,699 -36.09
2018-05-11 13F-HR PINNACLE ASSOCIATES LTD 930,673 894,321 -3.91 49,791 46,809 -5.99
2018-04-20 13F-HR FIRST MANHATTAN CO 3,150 3,150 0.00 168 164 -2.38
2018-05-29 N-Q Goldman Sachs Variable Insurance Trust (see advisory)
2018-02-28 N-Q Gps Funds I (see advisory)
2018-04-27 N-Q Mss Series Trust (see advisory)
2018-04-18 13F-HR Cornerstone Advisors, Inc. 150 150 0.00 8 8 0.00
2018-05-30 N-Q Advanced Series Trust (see advisory)
2018-05-14 13F-HR DIAM Co., Ltd. 203,907 215,851 5.86 10,997 11,298 2.74
2018-05-30 N-Q Tiff Investment Program (see advisory)
2018-05-02 13F-HR DUPONT CAPITAL MANAGEMENT Corp 7,861 0 -100.00 421 0 -100.00
2018-05-15 13F-HR BALYASNY ASSET MANAGEMENT LLC 5,600 14,890 165.89 300 779 159.67
2018-04-12 13F-HR OREGON PUBLIC EMPLOYEES RETIREMENT FUND 15,171 0 -100.00 825 0 -100.00
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-05-14 13F-HR HENDERSON GROUP PLC 59,633 18,133 -69.59 3,190 949 -70.25
2018-05-15 N-Q Bridge Builder Trust (see advisory)
2018-05-15 13F-HR Walleye Trading LLC Call 0 20,300 0 1,063
2018-04-10 13F-HR NISA INVESTMENT ADVISORS L.L.C. 1,200 500 -58.33 64 26 -59.37
2018-05-14 13F-HR Stone Ridge Asset Management LLC 4,800 0 -100.00 257 0 -100.00
2018-05-15 13F-HR BLAIR WILLIAM & CO/IL 657,498 692,242 5.28 35,176 36,232 3.00
2018-05-10 13F-HR Vantage Investment Advisors, LLC 600 600 0.00 32 31 -3.12
2018-05-14 13F-HR TOCQUEVILLE ASSET MANAGEMENT L.P. 27,065 22,565 -16.63 1,448 1,181 -18.44
2018-02-14 13F-HR National Planning Corp 94,430 0 -100.00 5,138 0 -100.00
2018-02-14 13F-HR ARGENTIERE CAPITAL AG 40,000 0 -100.00 2,176 0 -100.00
2018-05-10 13F-HR First Personal Financial Services 405 21
2018-05-29 N-Q Columbia Acorn Trust (see advisory)
2018-05-15 13F-HR BRITISH COLUMBIA INVESTMENT MANAGEMENT CORP 27,525 47,410 72.24 1,473 2,481 68.43
2018-05-14 13F-HR Resources Investment Advisors, Inc. 790 790 0.00 42 41 -2.38
2018-05-11 13F-HR BNP PARIBAS ARBITRAGE, SA 15,139 19,819 30.91 809,936 1,037,326 28.08
2018-04-06 13F-HR Berson & Corrado Investment Advisors, LLC 22,719 20,543 -9.58 1,215 1,075 -11.52
2018-05-17 13F-HR/A EVENTIDE ASSET MANAGEMENT, LLC 525,000 557,000 6.10 28,088 29,153 3.79
2018-05-15 13F-HR Rock Springs Capital Management LP 125,000 0 -100.00 6,688 0 -100.00
2018-04-13 13F-HR NORTHWEST WEALTH MANAGEMENT, LLC 60 3
2018-04-18 13F-HR Sonora Investment Management, LLC 400 400 0.00 21,400 20,936 -2.17
2018-03-29 N-Q Vanguard Trustees' Equity Fund (see advisory)
2018-03-29 N-Q Flexshares Trust (see advisory)
2018-05-03 13F-HR Trexquant Investment LP 17,397 22,406 28.79 931 1,173 25.99
2018-03-27 N-Q Harbor Funds (see advisory)
2018-05-30 N-Q Series Portfolios Trust (see advisory)
2018-05-16 13F-HR Israel Discount Bank of New York 810 810 0.00 43 42 -2.33
2018-02-14 13F-HR GLG LLC 4,837 4,837 0.00 263 259 -1.52
2018-05-22 N-Q Transamerica Series Trust (see advisory)
2018-05-15 13F-HR HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV 3 0
2018-05-17 N-Q Baillie Gifford Funds (see advisory)
2018-05-18 13F-HR Xact Kapitalforvaltning AB 13,841 14,737 6.47 740 771 4.19
2018-05-09 13F-HR Bellevue Group AG 53,500 48,850 -8.69 2,862 2,557 -10.66
2018-04-13 13F-HR Cwm Advisors, Llc 30 0 -100.00 2 0 -100.00
2018-05-14 13F-HR BROWN BROTHERS HARRIMAN & CO 479 0 -100.00 26 0 -100.00
2018-05-15 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC 111,426 0 -100.00 5,961 0 -100.00
2018-04-19 13F-HR Asset Dedication, LLC 96 5
2018-02-02 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 6,565 0 -100.00 357 0 -100.00
2018-05-10 13F-HR BAILLIE GIFFORD & CO 14,964,511 14,672,519 -1.95 800,601 767,959 -4.08
2018-04-30 13F-HR Truewealth Llc 665 0 -100.00 36 0 -100.00
2018-05-15 13F-HR Marino, Stram & Associates Llc 500 500 0.00 27 26 -3.70
2018-05-30 N-Q Mutual Fund Series Trust (see advisory)
2018-05-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 7,798,646 9,731,991 24.79 417,228 509,372 22.08
2018-05-14 13F-HR Renaissance Technologies LLC 43,113 239,313 455.08 2,307 12,526 442.96
2018-05-11 13F-HR Parisi Gray Wealth Management 1,446 1,446 0.00 81 73 -9.88
2018-05-01 13F-HR COMMERZBANK AKTIENGESELLSCHAFT /FI 50,037 50,037 0.00 2,677 2,619 -2.17
2018-05-09 13F-HR FAIRFIELD, BUSH & CO. 16,772 16,150 -3.71 897 845 -5.80
2018-05-11 13F-HR Russell Investments Group, Ltd. 195,489 172,718 -11.65 10,759 9,037 -16.01
2018-05-11 13F-HR DIMENSIONAL FUND ADVISORS LP 162,950 171,204 5.07 8,721 8,961 2.75
2018-05-14 13F-HR/A CITADEL ADVISORS LLC 1,049,616 958,665 -8.67 56,154 50,176 -10.65
2018-05-10 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 43,175 33,110 -23.31 2,308 1,733 -24.91
2018-05-08 13F-HR LS Investment Advisors, LLC 1,307 1,307 0.00 70 68 -2.86
2018-05-30 N-Q Nuveen Nasdaq 100 Dynamic Overwrite Fund (see advisory)
2018-05-25 N-Q Ohio National Fund Inc (see advisory)
2018-03-19 N-Q TIAA-CREF FUNDS (see advisory)
2018-05-14 13F-HR UNIVERSITY OF NOTRE DAME DU LAC 45,784 49,099 7.24 2,449 2,570 4.94
2018-02-14 13F-HR Campbell & CO Investment Adviser LLC 5,356 0 -100.00 291 0 -100.00
2018-05-25 13F-HR/A SUNTRUST BANKS INC 0 6,450 0 337
2018-04-11 13F-HR ALPHA WINDWARD LLC 284 284 0.00 15 15 0.00
2018-05-15 13F-HR Utah Retirement Systems 17,800 19,600 10.11 952 1,026 7.77
2018-04-17 13F-HR JGP Global Gestao de Recursos Ltda. 20,603 22,334 8.40 1,102 1,169 6.08
2018-05-15 13F-HR Redmile Group, LLC 1,156,021 0 -100.00 61,847 0 -100.00
2018-05-29 N-Q Jnl Variable Fund Llc (see advisory)
2018-05-04 13F-HR Swiss National Bank 367,200 349,100 -4.93 19,645 18,272 -6.99
2018-05-25 N-Q Allianz Variable Insurance Products Trust (see advisory)
2018-05-14 13F-HR Baird Financial Group, Inc. 6,712 6,775 0.94 359 355 -1.11
2018-05-09 13F-HR ENVESTNET ASSET MANAGEMENT INC 2,861 5,314 85.74 153 284 85.62
2018-05-08 13F-HR Advisornet Financial, Inc 1,177 500 -57.52 63 26 -58.73
2018-05-08 13F-HR BADGLEY PHELPS & BELL INC 5,250 4,450 -15.24 281 233 -17.08
2018-05-14 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 726,083 761,971 4.94 38,845,443 39,881,564 2.67
2018-02-13 13F-HR CREDIT AGRICOLE S A 18,376 0 -100.00 1,000 0 -100.00
2018-05-14 13F-HR PRIMECAP MANAGEMENT CO/CA/ 12,714,100 14,440,582 13.58 680,204 755,820 11.12
2018-05-14 13F-HR NORDEA INVESTMENT MANAGEMENT AB 2,762 2,762 0.00 148 145 -2.03
2018-05-09 13F-HR Candriam Luxembourg S.C.A. 112,000 112,000 0.00 5,992 5,862 -2.17
2018-05-15 13F-HR BARCLAYS PLC 17,316 33,675 94.47 925 1,763 90.59
2018-04-06 13F-HR Eqis Capital Management, Inc. 26,087 26,569 1.85 1,396 1,391 -0.36
2018-04-26 13F-HR CWM, LLC 200 200 0.00 11 10 -9.09
2018-05-04 13F-HR D.A. DAVIDSON & CO. 6,660 7,279 9.29 356 381 7.02
2018-05-15 13F-HR Invesco Ltd. 353,358 315,205 -10.80 18,904 16,497 -12.73
2018-05-11 13F-HR STIFEL FINANCIAL CORP 8,756 9,812 12.06 477 533 11.74
2018-05-15 13F-HR Walleye Trading LLC 29,989 1,570
2018-05-25 N-Q Aqr Funds (see advisory)
2018-02-13 13F-HR COLUMBIA WANGER ASSET MANAGEMENT LLC 605,174 522,621 -13.64 32,928 27,960 -15.09
2018-03-29 N-Q Ishares Trust (see advisory)
2018-05-15 13F-HR A.R.T. Advisors, LLC 43,477 0 -100.00 2,326 0 -100.00
2018-05-15 13F-HR Wellington Management Group LLP 115,103 9,898,292 8,499.51 6,158 518,077 8,313.07
2018-03-01 N-Q Delaware Group Equity Funds Iv (see advisory)
2018-05-16 13F-HR Private Capital Group, Llc 47 47 0.00 3 2 -33.33
2018-05-11 13F-HR Slow Capital, Inc. 30,000 0 -100.00 1,605 0 -100.00
2018-05-29 N-Q Hc Capital Trust (see advisory)
2018-03-29 N-Q Vanguard International Equity Index Funds (see advisory)
2018-05-03 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 24,753 23,953 -3.23 1,324 1,254 -5.29
2018-05-15 13F-HR GLENMEDE TRUST CO NA 7,952 7,952 0.00 425 425 0.00
2018-05-09 13F-HR KBC Group NV 10,968 10,968 0.00 587 574 -2.21
2018-04-26 13F-HR SIMPLEX TRADING, LLC Call 226 99 -56.19 16 6 -62.50
2018-05-15 13F-HR CAPITAL INTERNATIONAL LTD /CA/ 82,729 104,788 26.66 4,426 5,485 23.93
2018-05-15 13F-HR Bank of New York Mellon Corp 439,073 469,559 6.94 23,491 24,576 4.62
2018-05-15 13F-HR HighTower Advisors, LLC 0 4,246 0 221
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 4,454 4,304 -3.37 238 225 -5.46
2018-02-23 N-Q Tekla Healthcare Investors (see advisory)
2018-02-02 13F-HR COLUMBUS CIRCLE INVESTORS Call 17,000 0 -100.00 925 0 -100.00
2018-05-10 13F-HR South Dakota Investment Council 42,200 42,200 0.00 2,258 2,209 -2.17
2018-03-27 N-Q PRINCIPAL FUNDS INC (see advisory)
2018-04-25 N-Q Vanguard Wellington Fund (see advisory)
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Call 24,200 18,900 -21.90 1,295 989 -23.63
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Put 40,500 29,200 -27.90 2,167 1,528 -29.49
2018-05-15 13F-HR We Are One Seven, Llc 103 103 0.00 6 5 -16.67
2018-05-15 13F-HR AQR CAPITAL MANAGEMENT LLC 60,940 69,027 13.27 3,260 3,613 10.83
2018-04-18 13F-HR REGIONS FINANCIAL CORP 1,400 1,400 0.00 75 73 -2.67
2018-05-15 13F-HR CAPITAL INTERNATIONAL INC /CA/ 64,305 77,605 20.68 3,440 4,062 18.08
2018-05-15 13F-HR Paloma Partners Management Co 13,143 15,399 17.17 704 806 14.49
2018-05-08 13F-HR TEACHER RETIREMENT SYSTEM OF TEXAS 27,125 27,943 3.02 1,451 1,463 0.83
2018-02-13 13F-HR ASCEND CAPITAL, LLC 164,648 0 -100.00 8,959 0 -100.00
2018-04-19 13F-HR Versant Capital Management, Inc 31 26 -16.13 1 1 0.00
2018-03-27 N-Q Schwab Capital Trust (see advisory)
2018-05-04 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 148,933 147,499 -0.96 7,968 7,720 -3.11
2018-05-14 13F-HR Commonwealth Equity Services, Llc. 6,287 5,667 -9.86 336 296 -11.90
2018-04-02 N-Q Primecap Odyssey Funds (see advisory)
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN 70,143 306,681 337.22 3,753 16,051 327.68
2018-05-29 N-Q Usaa Mutual Funds Trust (see advisory)
2018-04-30 13F-HR Skandinaviska Enskilda Banken AB (publ) 9,874 14,000 41.79 528 733 38.83
2018-05-15 13F-HR JANE STREET GROUP, LLC 8,785 3,903 -55.57 470 204 -56.60
2018-02-02 13F-HR Alambic Investment Management, L.P. 4,760 0 -100.00 259 0 -100.00
2018-05-15 13F-HR CAPITAL INTERNATIONAL SARL 153,100 191,000 24.76 8,191 9,997 22.05
2018-05-22 13F-HR AMALGAMATED BANK 19,142 22,504 17.56 1,024 1,178 15.04
2018-05-24 N-Q Tiaa-cref Life Funds (see advisory)
2018-04-27 N-Q Proshares Trust (see advisory)
2018-02-14 13F-HR Tourbillon Capital Partners, L.P. 805,000 0 -100.00 43,800 0 -100.00
2018-05-11 13F-HR Mn Services Vermogensbeheer B.V. 16,193 17,093 5.56 721 895 24.13
2018-02-09 13F-HR RidgeWorth Capital Management LLC 18,503 990
2018-05-11 13F-HR Cutler Group LP 3,500 426 -87.83 187 22 -88.24
2018-05-10 13F-HR Spark Investment Management LLC 108,000 0 -100.00 5,778 0 -100.00
2018-05-15 13F-HR VANGUARD GROUP INC 7,784,502 8,631,722 10.88 416,470 451,783 8.48
2018-03-26 N-Q Legg Mason Etf Investment Trust (see advisory)
2018-05-08 13F-HR NF Trinity Capital (Hong Kong) Ltd 58,000 58,000 0.00 3,103 3,036 -2.16
2018-05-23 N-Q Sa Funds Investment Trust (see advisory)
2018-05-24 N-Q Voya Partners Inc (see advisory)
2018-05-15 13F-HR AMP Capital Investors Ltd 32,933 32,933 0.00 1,762 1,702 -3.41
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 201 0 -100.00 11 0 -100.00
2018-05-15 13F-HR Capital Bank & Trust Co 794,336 1,042,352 31.22 42,497 54,557 28.38
2018-05-23 N-Q Lincoln Variable Insurance Products Trust (see advisory)
2018-05-15 13F-HR Opus Point Partners Management, LLC 35,668 21,126 -40.77 1,908 1,106 -42.03
2018-04-27 N-Q Ab Global Risk Allocation Fund, Inc. (see advisory)
2018-05-14 13F-HR Proficio Capital Partners LLC 69 329 376.81 4 17 325.00

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 ( SGEN / Seattle Genetics, 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!

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