Stock Institutional Ownership and Shareholders

SecuritySGEN / Seattle Genetics, Inc. (812578102)
President and CEOSIEGALL CLAY B
Institutional Owners271
Institutional Shares143,247,628
Outstanding Shares148,068,000 (as of 2017-09-30)
Institutional Value$ 39,340,744,000 USD

Seattle Genetics, Inc. (NASDAQ:SGEN) has 271 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 143,247,628 shares. Largest shareholders include Baker Brothers Advisors LP, Baillie Gifford & Co, Primecap Management Co/ca/, Vanguard Group Inc, BlackRock Inc., FMR LLC / Fidelity Management & Research, Capital International Investors, Price T Rowe Associates Inc /md/, State Street Corp, and Manning & Napier Advisors Llc.



Seattle Genetics, Inc. (NASDAQ:SGEN) 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)
2017-08-07 13F-HR Karp Capital Management Corp 31,602 0 -100.00 1,987 0 -100.00
2017-11-13 13F-HR EDMOND DE ROTHSCHILD HOLDING S.A. 580 580 0.00 30 32 6.67
2017-11-14 13F-HR EcoR1 Capital, LLC 15,000 30,000 100.00 776 1,632 110.31
2017-11-07 13F-HR SG Americas Securities, LLC 12,042 0 -100.00 623 0 -100.00
2017-11-07 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 235 235 0.00 12 13 8.33
2017-11-13 13F-HR Vantage Investment Advisors, LLC 600 600 0.00 31 33 6.45
2017-10-27 13F-HR Parametrica Management Ltd 6,487 0 -100.00 336 0 -100.00
2017-11-14 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 4,824 4,970 3.03 250 270 8.00
2017-11-14 13F-HR CAXTON ASSOCIATES LP 5,200 0 -100.00 269 0 -100.00
2017-11-13 13F-HR M&T BANK CORP 4,173 0 -100.00 216 0 -100.00
2017-08-14 13F-HR SECOR Capital Advisors, LP 3,709 0 -100.00 233 0 -100.00
2017-11-13 13F-HR Resources Investment Advisors, Inc. 790 43
2017-11-07 13F-HR Russell Investments Group, Ltd. 258,898 234,630 -9.37 13,396 12,766 -4.70
2017-08-04 13F-HR BNP Paribas Investment Partners S.A. 3,407 0 -100.00 214 0 -100.00
2017-10-30 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 20,370 20,370 0.00 1,054 1,108 5.12
2017-11-14 13F-HR UBS Group AG Call 35,200 0 -100.00 1,821 0 -100.00
2017-11-07 13F-HR MANNING & NAPIER ADVISORS LLC 0 2,574,895 0 140,098
2017-11-14 13F-HR RMB Capital Management, LLC 53,145 53,145 0.00 2,750 2,892 5.16
2017-11-14 13F-HR PANAGORA ASSET MANAGEMENT INC 4,230 5,341 26.26 219 291 32.88
2017-11-22 13F-HR Steward Partners Investment Advisory, Llc 15 15 0.00 0 0
2017-10-25 13F-HR SIMPLEX TRADING, LLC Call 566 28 -95.05 50 8 -84.00
2017-10-27 13F-HR Sumitomo Mitsui Asset Management Company, LTD 7,982 6,440 -19.32 412 350 -15.05
2017-11-13 13F-HR Bridgewater Associates, LP 106,760 0 -100.00 5,524 0 -100.00
2017-11-13 13F-HR/A-1 NORGES BANK 910,520 849,671 -6.68 36,794 43,831 19.13
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 104,900 80,000 -23.74 5,428 4,353 -19.80
2017-10-17 13F-HR Robeco Institutional Asset Management B.V. 59,740 0 -100.00 3,090 0 -100.00
2017-10-23 13F-HR STRS OHIO 1,235 1,235 0.00 63 67 6.35
2017-11-15 13F-HR Krilogy Financial LLC 600 300 -50.00 31 16 -48.39
2017-11-14 13F-HR VANGUARD GROUP INC 7,530,515 7,671,285 1.87 389,628 417,394 7.13
2017-11-15 13F-HR GROUP ONE TRADING, L.P. 43,299 44,492 2.76 2,240 2,421 8.08
2017-11-13 13F-HR WELLINGTON MANAGEMENT GROUP LLP 105,718 115,263 9.03 5,470 6,271 14.64
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 267,976 46,069 -82.81 13,865 2,506 -81.93
2017-11-14 13F-HR A.R.T. Advisors, LLC 6,275 0 -100.00 324 0 -100.00
2017-11-09 13F-HR EAGLE ASSET MANAGEMENT INC 299,804 0 -100.00 15,511 0 -100.00
2017-11-14 13F-HR CREDIT AGRICOLE S A 16,395 18,376 12.08 848 1,000 17.92
2017-10-31 13F-HR First City Capital Management, Inc. 5,350 5,350 0.00 277 291 5.05
2017-11-08 13F-HR ASSETMARK, INC 193 0 -100.00 10 0 -100.00
2017-11-13 13F-HR MUFG Americas Holdings Corp 0 100 0 5
2017-11-14 13F-HR HSBC HOLDINGS PLC 12,374 10,614 -14.22 641 578 -9.83
2017-11-13 13F-HR STIFEL FINANCIAL CORP 4,443 4,196 -5.56 233 229 -1.72
2017-11-08 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 24 48 100.00 1 3 200.00
2017-10-30 13F-HR Westpac Banking Corp 8,304 8,304 0.00 429,649 451,820 5.16
2017-10-30 13F-HR TOCQUEVILLE ASSET MANAGEMENT L.P. 27,190 27,190 0.00 1,407 1,479 5.12
2017-11-14 13F-HR SABBY MANAGEMENT, LLC 85,162 42,646 -49.92 4,406 2,320 -47.34
2017-10-31 13F-HR Andra AP-fonden 4,100 4,100 0.00 212 223 5.19
2017-08-24 13F-HR/A-1 LORD, ABBETT & CO. LLC 181,919 0 -100.00 11,435 0 -100.00
2017-08-14 13F-HR FRED ALGER MANAGEMENT INC 2,000 0 -100.00 126 0
2017-11-13 13F-HR NOMURA ASSET MANAGEMENT CO LTD 10,800 10,800 0.00 559 588 5.19
2017-10-03 13F-HR Eqis Capital Management, Inc. 26,258 25,171 -4.14 1,359 1,370 0.81
2017-11-13 13F-HR Alambic Investment Management, L.P. 7,525 4,760 -36.74 389 259 -33.42
2017-11-13 13F-HR Laurion Capital Management LP 5,550 0 -100.00 287 0 -100.00
2017-08-08 13F-HR NF Trinity Capital (Hong Kong) Ltd 74,596 0 -100.00 4,689 0 -100.00
2017-11-13 13F-HR KBC Group NV 16,558 10,968 -33.76 856 597 -30.26
2017-11-06 13F-HR CIBC Asset Management Inc 4,512 4,837 7.20 233 263 12.88
2017-11-07 13F-HR Carl Domino Inc 5,200 5,200 0.00 269 283 5.20
2017-11-13 13F-HR Allianz Asset Management AG 51,470 51,358 -0.22 2,737 2,794 2.08
2017-11-08 13F-HR Artal Group S.A. Call 100,000 100,000 0.00 5,174 5,441 5.16
2017-11-14 13F-HR ROYAL BANK OF CANADA 197,348 201,280 1.99 10,210 10,951 7.26
2017-11-14 13F-HR Clearbridge Investments, LLC 0 300 0 16
2017-10-25 13F-HR FIRST MANHATTAN CO 3,150 3,150 0.00 162 171 5.56
2017-11-13 13F-HR Utah Retirement Systems 17,500 17,500 0.00 906 952 5.08
2017-11-14 13F-HR Redmile Group, LLC 665,139 1,843,733 177.20 34,414 100,318 191.50
2017-10-16 13F-HR GATEWAY INVESTMENT ADVISERS LLC 47,732 2,597
2017-11-08 13F-HR Sivik Global Healthcare LLC 25,000 30,000 20.00 1,294 1,632 26.12
2017-10-17 13F-HR Creative Planning 43,046 34,620 -19.57 2,227 1,884 -15.40
2017-08-14 13F-HR Jefferies Group LLC 3,208 0 -100.00 202 0 -100.00
2017-11-13 13F-HR NN Investment Partners Holdings N.V. 653 0 -100.00 34 0 -100.00
2017-11-14 13F-HR BARCLAYS PLC 72,339 7,994 -88.95 3,743 435 -88.38
2017-11-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 228,600 209,000 -8.57 11,828 11,372 -3.86
2017-10-25 13F-HR Cornerstone Advisors, Inc. 150 150 0.00 8 8 0.00
2017-11-14 13F-HR Sullivan, Bruyette, Speros & Blaney, Inc. 6,689 6,713 0.36 346 365 5.49
2017-10-20 13F-HR MEEDER ASSET MANAGEMENT INC 3,950 201 -94.91 205 11 -94.63
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 251,400 173,600 -30.95 13,007 9,446 -27.38
2017-11-14 13F-HR DIAM Co., Ltd. 167,813 198,510 18.29 8,712 10,779 23.73
2017-11-03 13F-HR BNP PARIBAS ARBITRAGE, SA 17,809 17,531 -1.56 921,438 953,862 3.52
2017-11-14 13F-HR CAPITAL INTERNATIONAL INC /CA/ 39,030 61,330 57.14 2,019 3,337 65.28
2017-11-03 13F-HR Candriam Luxembourg S.C.A. 158,500 23,000 -85.49 8,201 1,251 -84.75
2017-11-14 13F-HR BROWN BROTHERS HARRIMAN & CO 3,000 0 -100.00 155 0 -100.00
2017-08-10 13F-HR CAPITAL FUND MANAGEMENT S.A. 3,309 0 -100.00 208 0 -100.00
2017-10-12 13F-HR Livforsakringsbolaget Skandia, Omsesidigt 1,900 1,900 0.00 98 103 5.10
2017-10-19 13F-HR/A-1 Tributary Capital Management, LLC 20,200 19,600 -2.97 1,045 1,066 2.01
2017-10-23 13F-HR Nationwide Fund Advisors 22,300 0 -100.00 1,154 0 -100.00
2017-11-15 13F-HR GRIFFIN ASSET MANAGEMENT, INC. 4,775 260
2017-11-06 13F-HR SEI INVESTMENTS CO 5,732 3,448 -39.85 297 187 -37.04
2017-11-14 13F-HR ARGENTIERE CAPITAL AG 30,000 40,000 33.33 1,552 2,176 40.21
2017-10-23 13F-HR WHITTIER TRUST CO OF NEVADA INC 189 189 0.00 10 10 0.00
2017-10-25 13F-HR FIRST QUADRANT L P/CA 1,000 1,000 0.00 52 54 3.85
2017-11-14 13F-HR TUDOR INVESTMENT CORP ET AL 24,739 0 -100.00 1,280 0 -100.00
2017-11-13 13F-HR Pacad Investment Ltd. 26,800 0 -100.00 1,387 0 -100.00
2017-08-14 13F-HR CREDIT SUISSE AG/ Call 8,000 0 -100.00 503 0 -100.00
2017-11-14 13F-HR Nuveen Asset Management, LLC 12,726 13,012 2.25 658 708 7.60
2017-11-13 13F-HR FMR LLC / Fidelity Management & Research 7,859,541 7,136,682 -9.20 406,653 388,307 -4.51
2017-11-01 13F-HR STEVENS CAPITAL MANAGEMENT LP 66,301 0 -100.00 3,430 0 -100.00
2017-08-14 13F-HR HIGHLAND CAPITAL MANAGEMENT LP 45,000 0 -100.00 2,829 0 -100.00
2017-11-07 13F-HR Quantbot Technologies LP 1,226 2,654 116.48 63 144 128.57
2017-11-13 13F-HR Israel Discount Bank of New York 835 810 -2.99 43 44 2.33
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 4,675 4,654 -0.45 242 253 4.55
2017-11-13 13F-HR Renaissance Technologies LLC 6,613 118,913 1,698.17 342 6,470 1,791.81
2017-10-16 13F-HR BANK OF MONTREAL /CAN/ 1,767 1,013 -42.67 92 54 -41.30
2017-10-31 13F-HR WHALEROCK POINT PARTNERS, LLC 48,790 36,190 -25.82 2,524 1,969 -21.99
2017-11-06 13F-HR DekaBank Deutsche Girozentrale 84,501 84,337 -0.19 4,516 4,002 -11.38
2017-11-14 13F-HR CAPITAL INTERNATIONAL SARL 95,500 144,800 51.62 4,941 7,879 59.46
2017-08-04 13F-HR MARSHALL WACE ASIA Ltd 21,940 0 -100.00 1,382 0 -100.00
2017-11-07 13F-HR NBT BANK N A /NY 18,770 15,844 -15.59 971 862 -11.23
2017-11-14 13F-HR Point72 Asset Management, L.P. 120,000 0 -100.00 6,209 0 -100.00
2017-11-08 13F-HR Pacer Advisors, Inc. 17,712 20,789 17.37 916 1,131 23.47
2017-11-15 13F-HR Fieldpoint Private Securities, LLC 0 285 0 16
2017-10-17 13F-HR Cutler Group LP Put 2,600 800 -69.23 18 3 -83.33
2017-11-13 13F-HR Spark Investment Management LLC 139,100 183,500 31.92 7,197 9,984 38.72
2017-11-09 13F-HR JP MORGAN CHASE & CO Put 50,000 2,698
2017-11-14 13F-HR DEUTSCHE BANK AG\ Call 555 0 -100.00 28 0 -100.00
2017-11-13 13F-HR NORTHERN TRUST CORP 568,337 561,710 -1.17 29,406 30,562 3.93
2017-11-14 13F-HR CREDIT SUISSE AG/ 287,164 250,677 -12.71 14,858 13,639 -8.20
2017-11-14 13F-HR PEAK6 Investments, L.P. Put 15,800 16,700 5.70 817 909 11.26
2017-11-13 13F-HR US BANCORP \DE\ 10,943 14,280 30.49 567 778 37.21
2017-11-08 13F-HR Artal Group S.A. 75,000 0 -100.00 3,881 0 -100.00
2017-10-25 13F-HR SIMPLEX TRADING, LLC Put 190 310 63.16 135 62 -54.07
2017-11-13 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 753,152 744,719 -1.12 38,968 40,520 3.98
2017-10-30 13F-HR IFP Advisors, Inc 200 200 0.00 10 11 10.00
2017-11-13 13F-HR FRANKLIN RESOURCES INC 0 80,000 0 4,353
2017-11-13 13F-HR Artisan Partners Limited Partnership 290,983 0 -100.00 15,055 0 -100.00
2017-11-03 13F-HR Tradewinds Capital Management, LLC 2,344 2,344 0.00 121 128 5.79
2017-11-14 13F-HR GLENMEDE TRUST CO NA 8,700 8,000 -8.05 546 434 -20.51
2017-08-04 13F-HR Apriem Advisors 250 0 -100.00 16 0 -100.00
2017-11-14 13F-HR Capital International Investors 2,724,589 4,460,246 63.70 140,970 242,682 72.15
2017-11-14 13F-HR EVENTIDE ASSET MANAGEMENT, LLC 525,000 525,000 0.00 27,164 28,565 5.16
2017-11-14 13F-HR LPL Financial LLC 8,231 8,224 -0.09 426 447 4.93
2017-11-14 13F-HR Capital Bank & Trust Co 580,766 834,519 43.69 30,049 45,406 51.11
2017-11-14 13F-HR JANE STREET GROUP, LLC 9,455 10,821 14.45 489 589 20.45
2017-10-20 13F-HR Bristlecone Advisors, LLC 0 3,300 0 180
2017-11-14 13F-HR Squarepoint Ops LLC 9,916 0 -100.00 513 0 -100.00
2017-11-03 13F-HR Swiss National Bank 363,800 367,200 0.93 18,823 19,979 6.14
2017-11-07 13F-HR FJARDE AP-FONDEN /FOURTH SWEDISH NATIONAL PENSION FUND 28,319 26,874 -5.10 1,465 1,462 -0.20
2017-11-17 13F-HR/A-1 Virtu Financial LLC 0 3,736 0 203
2017-11-13 13F-HR ProShare Advisors LLC 75,284 82,843 10.04 3,895 4,507 15.71
2017-11-14 13F-HR TWO SIGMA SECURITIES, LLC 11,394 0 -100.00 590 0 -100.00
2017-11-13 13F-HR OPPENHEIMER FUNDS INC 1,400,000 1,000,000 -28.57 72,436 54,410 -24.89
2017-11-13 13F-HR CITIGROUP INC 80,032 41,931 -47.61 4,142 2,281 -44.93
2017-11-02 13F-HR PRUDENTIAL FINANCIAL INC 6,291 6,091 -3.18 325 331 1.85
2017-11-03 13F-HR Global X Management CO LLC 1,324 1,496 12.99 69 81 17.39
2017-11-13 13F-HR Skandinaviska Enskilda Banken AB (publ) 14,374 14,374 0.00 744 782 5.11
2017-11-14 13F-HR Weiss Multi-Strategy Advisers LLC 20,000 15,000 -25.00 1,035 816 -21.16
2017-10-11 13F-HR PIONEER TRUST BANK N A/OR 10,000 544
2017-11-06 13F-HR Winfield Associates, Inc. 40 40 0.00 2 2 0.00
2017-11-14 13F-HR Matrix Capital Management Company, LP 2,118,000 2,118,000 0.00 109,585 115,240 5.16
2017-11-01 13F-HR/A-1 Xact Kapitalforvaltning AB 13,189 13,189 0.00 682 718 5.28
2017-11-13 13F-HR DIMENSIONAL FUND ADVISORS LP 204,302 205,111 0.40 10,574 11,159 5.53
2017-10-12 13F-HR Sonora Investment Management, LLC 400 400 0.00 20,696 21,764 5.16
2017-11-13 13F-HR Stanley-Laman Group, Ltd. 3,940 214
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC 1,148,615 1,285,397 11.91 59,430 69,938 17.68
2017-11-09 13F-HR Trexquant Investment LP 0 4,159 0 226
2017-11-14 13F-HR FIFTH THIRD BANCORP 134 134 0.00 7 7 0.00
2017-11-14 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC 190,800 10,381
2017-10-19 13F-HR LS Investment Advisors, LLC 1,307 1,307 0.00 68 71 4.41
2017-11-14 13F-HR Boxer Capital, LLC 125,000 0 -100.00 6,468 0 -100.00
2017-11-09 13F-HR South Dakota Investment Council 34,000 49,900 46.76 1,759 2,715 54.35
2017-11-14 13F-HR Ghost Tree Capital, LLC 300,000 0 -100.00 15,522 0 -100.00
2017-10-31 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 168,023 168,023 0.00 8,694 9,142 5.15
2017-11-14 13F-HR PEAK6 Investments, L.P. 6,518 7,685 17.90 337 418 24.04
2017-11-14 13F-HR PLATINUM INVESTMENT MANAGEMENT LTD 32,000 40,500 26.56 1,655 2,203 33.11
2017-08-11 13F-HR WESTFIELD CAPITAL MANAGEMENT CO LP 112,260 0 -100.00 7,057 0 -100.00
2017-08-02 13F-HR Segantii Capital Management Ltd 1,200 0 -100.00 75 0 -100.00
2017-11-14 13F-HR HENDERSON GROUP PLC 704,673 180,873 -74.33 36,460 9,841 -73.01
2017-10-11 13F-HR Gulf International Bank (UK) Ltd 31,050 31,050 0.00 1,606 1,689 5.17
2017-11-14 13F-HR BARCLAYS PLC Put 14,500 13,200 -8.97 750 718 -4.27
2017-11-02 13F-HR PRINCIPAL FINANCIAL GROUP INC 61,688 58,167 -5.71 3,191 3,165 -0.81
2017-11-09 13F-HR FTB Advisors, Inc. 235 235 0.00 11 13 18.18
2017-11-15 13F-HR Sterling Capital Management LLC 4,818 0 -100.00 249 0 -100.00
2017-11-07 13F-HR Advisors Asset Management, Inc. 11,651 12,663 8.69 603 689 14.26
2017-11-13 13F-HR Mitsubishi UFJ Trust & Banking Corp 1,013,287 1,004,031 -0.91 52,427 54,629 4.20
2017-11-09 13F-HR Verity Asset Management, Inc. 5,882 5,804 -1.33 304 356 17.11
2017-10-20 13F-HR/A-1 Shell Asset Management Co 4,557 4,998 9.68 236 272 15.25
2017-11-09 13F-HR JP MORGAN CHASE & CO 3,562 5,299 48.76 184 286 55.43
2017-11-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 2,320 0 -100.00 120 0 -100.00
2017-11-14 13F-HR TWO SIGMA ADVISERS, LP 252,923 118,424 -53.18 13,086 6,443 -50.76
2017-11-13 13F-HR OXFORD ASSET MANAGEMENT 34,943 0 -100.00 1,808 0 -100.00
2017-12-05 13F-HR Perigon Wealth Management, LLC 30,000 0 -100.00 1,552 0 -100.00
2017-11-14 13F-HR STATE STREET CORP 2,809,762 3,231,747 15.02 145,377 175,842 20.96
2017-11-13 13F-HR Graticule Asia Macro Advisors LLC Call 83,000 0 -100.00 4,294 0 -100.00
2017-11-13 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 9,661 8,730 -9.64 501 476 -4.99
2017-10-30 13F-HR Perennial Advisors, LLC 250 250 0.00 13 14 7.69
2017-11-13 13F-HR PARTNERS CAPITAL INVESTMENT GROUP LLC 12,557 683
2017-11-14 13F-HR ACUTA CAPITAL PARTNERS, LLC Put 70,000 3,809
2017-11-09 13F-HR TD ASSET MANAGEMENT INC 36,471 31,753 -12.94 1,887 1,728 -8.43
2017-11-09 13F-HR CITADEL ADVISORS LLC 1,298,137 885,768 -31.77 67,165 48,195 -28.24
2017-11-06 13F-HR Advisor Group, Inc. 644 1,261 95.81 33 69 109.09
2017-11-13 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 173,900 157,451 -9.46 8,998 8,567 -4.79
2017-11-07 13F-HR AMERIPRISE FINANCIAL INC 7,739 7,599 -1.81 400 414 3.50
2017-11-14 13F-HR CAPITAL GUARDIAN TRUST CO 584,256 1,064,300 82.16 30,229 57,909 91.57
2017-10-26 13F-HR PICTET ASSET MANAGEMENT LTD 706,316 1,266,426 79.30 45,190 68,906 52.48
2017-11-03 13F-HR/A-1 CANADA PENSION PLAN INVESTMENT BOARD 106,700 69,500 -34.86 5,521 3,781 -31.52
2017-11-14 13F-HR Paloma Partners Management Co 32,991 0 -100.00 1,707 0 -100.00
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC Put 30,000 30,000 0.00 1,552 1,632 5.15
2017-11-01 13F-HR SHINE INVESTMENT ADVISORY SERVICES INC 157 9
2017-11-14 13F-HR JANE STREET GROUP, LLC Call 5,000 0 -100.00 259 0 -100.00
2017-11-01 13F-HR Mn Services Vermogensbeheer B.V. 16,193 16,193 0.00 838 881 5.13
2017-11-14 13F-HR Sio Capital Management, LLC Put 100,000 100,000 0.00 5,174 5,441 5.16
2017-11-06 13F-HR RHUMBLINE ADVISERS 113,248 107,849 -4.77 5,859 5,868 0.15
2017-11-13 13F-HR TEACHERS ADVISORS INC 554,091 554,552 0.08 28,669 30,173 5.25
2017-11-14 13F-HR MORGAN STANLEY 362,074 407,910 12.66 18,734 22,194 18.47
2017-11-14 13F-HR Invesco Ltd. 281,145 349,328 24.25 14,546 19,007 30.67
2017-08-11 13F-HR KCG HOLDINGS, INC. 16,073 39,053 142.97 1,010 2,021 100.10
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Put 98,800 123,500 25.00 5,112 6,720 31.46
2017-11-14 13F-HR CAPITAL INTERNATIONAL LTD /CA/ 193,515 324,515 67.70 10,012 17,657 76.36
2017-11-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 0 16,900 0 920
2017-11-01 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 40,343 18,684 -53.69 2,087 1,017 -51.27
2017-08-08 13F-HR Neuberger Berman Group LLC 12,630 0 -100.00 794 0 -100.00
2017-11-14 13F-HR FAIRFIELD, BUSH & CO. 16,772 16,772 0.00 868 913 5.18
2017-11-13 13F-HR Tredje AP-fonden 15,470 0 -100.00 800 0 -100.00
2017-10-12 13F-HR Advisory Services Network, LLC 37 0 -100.00 2 0 -100.00
2017-08-10 13F-HR Fiera Capital Corp 3,874 0 -100.00 244 0 -100.00
2017-08-11 13F-HR TLP GROUP LLC 5,926 0 -100.00 373 0 -100.00
2017-11-14 13F-HR Proficio Capital Partners LLC 137 21 -84.67 7 1 -85.71
2017-11-14 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 6,847 7,215 5.37 354 393 11.02
2017-11-13 13F-HR Marshall Wace North America L.P. 374,220 0 -100.00 19,460 0 -100.00
2017-11-14 13F-HR Walleye Trading LLC Call 2,500 136
2017-11-13 13F-HR Tekla Capital Management LLC 223,700 223,700 0.00 11,574 12,172 5.17
2017-11-13 13F-HR PRIMECAP MANAGEMENT CO/CA/ 12,958,975 12,779,425 -1.39 670,497 695,329 3.70
2017-10-16 13F-HR CWM, LLC 200 200 0.00 10 11 10.00
2017-11-14 13F-HR Omnia Family Wealth, LLC 96 30 -68.75 5 2 -60.00
2017-10-18 13F-HR HOWE & RUSLING INC 40 40 0.00 2 2 0.00
2017-11-14 13F-HR UBS Group AG 169,487 197,218 16.36 8,769 10,731 22.37
2017-10-18 13F-HR ALPHA WINDWARD LLC 379 379 0.00 20 21 5.00
2017-11-08 13F-HR BRIGHTON JONES LLC 7,415 4,415 -40.46 384 240 -37.50
2017-11-14 13F-HR ACUTA CAPITAL PARTNERS, LLC Call 40,000 2,176
2017-11-13 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 296,212 304,561 2.82 15,327 16,572 8.12
2017-11-14 13F-HR Walleye Trading LLC Put 10,800 588
2017-11-13 13F-HR CITIGROUP INC Put 13,000 20,500 57.69 673 1,115 65.68
2017-11-20 13F-HR GSA CAPITAL PARTNERS LLP 6,756 0 -100.00 350 0 -100.00
2017-11-14 13F-HR NEXTHERA CAPITAL LP 0 373,000 0 20,295
2017-11-15 13F-HR/A-1 Parallel Advisors, LLC 65 148 127.69 3 8 166.67
2017-11-09 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 43,539 43,075 -1.07 2,250 2,324 3.29
2017-11-13 13F-HR WEXFORD CAPITAL LP 24,100 0 -100.00 1,247 0 -100.00
2017-10-30 13F-HR TOKIO MARINE ASSET MANAGEMENT CO LTD 29,500 29,500 0.00 1,526 1,605 5.18
2017-11-14 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC 31,700 0 -100.00 1,640 0 -100.00
2017-11-14 13F-HR AQR CAPITAL MANAGEMENT LLC 64,139 37,902 -40.91 3,319 2,062 -37.87
2017-11-13 13F-HR Everett Capital Advisors UK LLP 75,000 191,500 155.33 3,881 10,420 168.49
2017-08-14 13F-HR ELLINGTON MANAGEMENT GROUP LLC 3,400 0 -100.00 214 0 -100.00
2017-11-13 13F-HR UNIVERSITY OF NOTRE DAME DU LAC 39,295 55,319 40.78 2,033 3,010 48.06
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 148,091 36,526 -75.34 7,662 1,987 -74.07
2017-12-14 13F-HR/A-1 PARAMETRIC PORTFOLIO ASSOCIATES LLC 74,200 69,918 -5.77 3,839 3,804 -0.91
2017-11-07 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 308,874 280,692 -9.12 15,981 15,272 -4.44
2017-11-14 13F-HR NUMERIC INVESTORS LLC 12,000 0 -100.00 621 0 -100.00
2017-11-02 13F-HR OREGON PUBLIC EMPLOYEES RETIREMENT FUND 18,400 15,171 -17.55 952 825 -13.34
2017-11-07 13F-HR Commonwealth Equity Services, Inc 6,042 6,042 0.00 312 328 5.13
2017-11-13 13F-HR ALLIANCEBERNSTEIN L.P. 57,241 57,291 0.09 2,962 3,117 5.23
2017-11-13 13F-HR BROWN ADVISORY INC 37,499 33,938 -9.50 1,941 1,847 -4.84
2017-10-18 13F-HR Quantitative Systematic Strategies LLC 6,219 0 -100.00 331 0 -100.00
2017-10-06 13F-HR Berson & Corrado Investment Advisors, LLC 25,017 24,405 -2.45 1,294 1,328 2.63
2017-11-13 13F-HR CITIGROUP INC Call 19,000 17,100 -10.00 983 930 -5.39
2017-07-18 13F-HR Capital Impact Advisors, LLC 32,284 28,351 -12.18 2,029 1,467 -27.70
2017-08-14 13F-HR venBio Select Advisor LLC 450,000 0 -100.00 28,287 0 -100.00
2017-11-02 13F-HR Harel Insurance Investments & Financial Services Ltd. 140 410 192.86 7 22 214.29
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ Put 50,000 2,721
2017-10-17 13F-HR Cutler Group LP Call 7,500 4,500 -40.00 5 1 -80.00
2017-11-22 13F-HR/A-1 National Planning Corp 110,990 94,430 -14.92 5,795 5,138 -11.34
2017-11-13 13F-HR Campbell & CO Investment Adviser LLC 5,356 291
2017-11-14 13F-HR TWO SIGMA INVESTMENTS LLC 59,056 0 -100.00 3,056 0 -100.00
2017-11-13 13F-HR RAYMOND JAMES & ASSOCIATES 8,191 6,950 -15.15 424 378 -10.85
2017-11-14 13F-HR VIRTUS ETF ADVISERS LLC 16,188 16,188 0.00 838 881 5.13
2017-08-14 13F-HR First Allied Advisory Services, Inc. 2,154 0 -100.00 389 0 -100.00
2017-10-02 13F-HR HALL LAURIE J TRUSTEE 340 340 0.00 17,592 18,499 5.16
2017-11-06 13F-HR Bank of New York Mellon Corp 426,129 439,432 3.12 22,048 23,910 8.45
2017-11-01 13F-HR/A-1 Financial Architects, Inc 1,271 1,321 3.93 66 72 9.09
2017-11-14 13F-HR EMORY UNIVERSITY 23,704 35,982 51.80 1,226 1,958 59.71
2017-11-14 13F-HR ETF MANAGERS GROUP, LLC 763 838 9.83 39 46 17.95
2017-11-14 13F-HR Gotham Asset Management, LLC 31,269 0 -100.00 1,618 0 -100.00
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 32,081 3,759 -88.28 1,660 205 -87.65
2017-08-14 13F-HR Point72 Asia (Hong Kong) Ltd 15 0 -100.00 1 0 -100.00
2017-11-14 13F-HR D. E. Shaw & Co., Inc. 347,094 177,519 -48.86 17,959 9,659 -46.22
2017-11-27 13F-HR/A-1 SPHERA FUNDS MANAGEMENT LTD. 36,000 0 -100.00 1,863 0 -100.00
2017-11-09 13F-HR MARK SHEPTOFF FINANCIAL PLANNING, LLC 200 200 0.00 10 11 10.00
2017-11-14 13F-HR GREAT POINT PARTNERS LLC Call 249,500 0 -100.00 12,909 0 -100.00
2017-11-14 13F-HR Tourbillon Capital Partners, L.P. 640,000 805,000 25.78 33,114 43,800 32.27
2017-08-11 13F-HR Hudson Bay Capital Management LP 20,000 0 -100.00 1,257 0 -100.00
2017-10-27 13F-HR Crossmark Global Holdings, Inc. 5,035 5,035 0.00 274 274 0.00
2017-11-14 13F-HR Lagoda Investment Management, L.P. 398,529 306,694 -23.04 20,620 16,687 -19.07
2017-10-17 13F-HR Cutler Group LP 5,403 819 -84.84 279 44 -84.23
2017-11-08 13F-HR D.A. DAVIDSON & CO. 5,590 6,017 7.64 289 327 13.15
2017-11-09 13F-HR CITADEL ADVISORS LLC Call 32,700 24,300 -25.69 1,692 1,322 -21.87
2017-11-14 13F-HR GLG LLC 5,286 4,837 -8.49 273 263 -3.66
2017-11-14 13F-HR GUGGENHEIM CAPITAL LLC 100,706 119,273 18.44 5,210 6,489 24.55
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 830,806 856,507 3.09 42,969 46,583 8.41
2017-11-13 13F-HR COMMERZBANK AKTIENGESELLSCHAFT /FI 50,000 50,037 0.07 2,587 2,723 5.26
2017-11-13 13F-HR Graticule Asia Macro Advisors LLC 134,120 0 -100.00 6,939 0 -100.00
2017-11-13 13F-HR CAPTRUST FINANCIAL ADVISORS 200 0 -100.00 10 0 -100.00
2017-11-13 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 375,642 553,859 47.44 19,435,717 30,135,469 55.05
2017-11-14 13F-HR Tower Research Capital LLC (TRC) 4,300 37 -99.14 223 2 -99.10
2017-11-13 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 400 400 0.00 21 22 4.76
2017-11-07 13F-HR HANSEATIC MANAGEMENT SERVICES INC 31,341 0 -100.00 1,622 0 -100.00
2017-11-14 13F-HR QS Investors, LLC 3,511 3,511 0.00 182 191 4.95
2017-11-09 13F-HR Legal & General Group Plc 109,089 127,070 16.48 5,644 6,914 22.50
2017-11-03 13F-HR GRANDFIELD & DODD, LLC 10,001 11,086 10.85 517 603 16.63
2017-08-14 13F-HR GOLDMAN SACHS GROUP INC Put 10,000 0 -100.00 629 0 -100.00
2017-10-12 13F-HR ADIRONDACK TRUST CO 100 100 0.00 5 5 0.00
2017-10-16 13F-HR 440 INVESTMENT GROUP, LLC 25,480 1,386
2017-11-14 13F-HR BRITISH COLUMBIA INVESTMENT MANAGEMENT CORP 48,557 48,557 0.00 2,512 2,642 5.18
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ Call 0 50,000 0 2,721
2017-11-14 13F-HR HBK INVESTMENTS L P 21,500 0 -100.00 1,112 0 -100.00
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Call 18,800 18,700 -0.53 973 1,017 4.52
2017-11-20 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 63,075 61,788 -2.04 3,264 3,362 3.00
2017-11-13 13F-HR Bellevue Group AG 39,000 45,000 15.38 2,018 2,448 21.31
2017-11-14 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 1,511 2,005 32.69 78 109 39.74
2017-11-14 13F-HR DRW Securities, LLC 4,000 8,000 100.00 207 435 110.14
2017-11-14 13F-HR GAM Holding AG 4,564 0 -100.00 236 0 -100.00
2017-10-13 13F-HR QUADRANT CAPITAL GROUP LLC 162 162 0.00 8 8 0.00
2017-11-14 13F-HR Opus Point Partners Management, LLC 35,093 41,263 17.58 1,816 2,245 23.62
2017-11-22 13F-HR Chicago Partners Investment Group LLC 1,500 0 -100.00 79 0 -100.00
2017-11-15 13F-HR WOLVERINE TRADING, LLC Call 18,200 0 -100.00 969 0 -100.00
2017-11-09 13F-HR AMALGAMATED BANK 17,808 18,099 1.63 921 985 6.95
2017-11-13 13F-HR PINNACLE ASSOCIATES LTD 1,015,717 1,005,952 -0.96 52,553 54,734 4.15
2017-10-24 13F-HR HUNTINGTON NATIONAL BANK 0 500 0 27
2017-11-06 13F-HR Archon Partners LLC 5,820 6,420 10.31 301 349 15.95
2017-11-14 13F-HR AMP Capital Investors Ltd 57,033 52,033 -8.77 3,038 2,831 -6.81
2017-11-14 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 40,200 0 -100.00 2,080 0 -100.00
2017-11-06 13F-HR Spot Trading L.l.c. Call 500 27
2017-11-13 13F-HR BLAIR WILLIAM & CO/IL 668,546 665,390 -0.47 34,591 36,204 4.66
2017-07-10 13F-HR CAPSTONE ASSET MANAGEMENT CO 5,055 5,035 -0.40 318 261 -17.92
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 406,493 403,670 -0.69 21,033 21,963 4.42
2017-11-13 13F-HR BlueMountain Capital Management, LLC 17,332 0 -100.00 897 0 -100.00
2017-11-03 13F-HR World Asset Management Inc 4,326 4,395 1.60 224 239 6.70
2017-11-14 13F-HR DEUTSCHE BANK AG\ 801,493 871,816 8.77 41,463 47,430 14.39
2017-11-08 13F-HR WASATCH ADVISORS INC 1,062,188 1,016,090 -4.34 54,958 55,285 0.59
2017-11-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 4,135 0 -100.00 214 0 -100.00
2017-11-13 13F-HR CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 3,800 208
2017-10-25 13F-HR Aperio Group, LLC 31,693 27,404 -13.53 1,640 1,491 -9.09
2017-11-14 13F-HR SABBY MANAGEMENT, LLC Call 438 542 23.74 2,266 2,949 30.14
2017-11-14 13F-HR Kazazian Asset Management, LLC 6,848 0 -100.00 354 0 -100.00
2017-11-14 13F-HR Natixis Asset Management 15,419 0 -100.00 798 0 -100.00
2017-10-31 13F-HR DUPONT CAPITAL MANAGEMENT Corp 7,861 7,861 0.00 407 428 5.16
2017-11-08 13F-HR COLUMBUS CIRCLE INVESTORS Call 17,000 925
2017-11-14 13F-HR Voya Investment Management LLC 36,892 36,486 -1.10 1,909 1,985 3.98
2017-11-14 13F-HR Baker Brothers Advisors LP 45,725,556 45,725,556 0.00 2,365,840 2,487,928 5.16
2017-11-08 13F-HR MACQUARIE GROUP LTD 95,917 95,917 0.00 4,962 5,219 5.18
2017-11-14 13F-HR Verition Fund Management LLC 6,524 0 -100.00 338 0 -100.00
2017-11-09 13F-HR NORDEA INVESTMENT MANAGEMENT AB 2,762 2,762 0.00 143 150 4.90
2017-11-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 2,081 1,506 -27.63 107 81 -24.30
2017-11-01 13F-HR AMERICAN CENTURY COMPANIES INC 9,816 9,816 0.00 508 534 5.12
2017-10-18 13F-HR Assenagon Asset Management S.A. 7,642 0 -100.00 395 0 -100.00
2017-11-06 13F-HR Spot Trading L.l.c. 4,591 11,060 140.91 238 602 152.94
2017-10-20 13F-HR JFS WEALTH ADVISORS, LLC 275 275 0.00 14 15 7.14
2017-08-14 13F-HR Parallax Volatility Advisers, L.P. 19 0 -100.00 1 0 -100.00
2017-11-15 13F-HR WOLVERINE TRADING, LLC Put 22,500 0 -100.00 1,198 0 -100.00
2017-10-23 13F-HR FOX RUN MANAGEMENT, L.L.C. 11,300 22,200 96.46 585 1,208 106.50
2017-11-09 13F-HR FFCM LLC 182 0 -100.00 10 0 -100.00
2017-11-06 13F-HR COMERICA BANK 3,856 3,735 -3.14 212 234 10.38
2017-11-14 13F-HR PATHSTONE FAMILY OFFICE, LLC 330 330 0.00 17 18 5.88
2017-11-02 13F-HR KEYBANK NATIONAL ASSOCIATION/OH 9,477 6,935 -26.82 490 377 -23.06
2017-11-09 13F-HR VAN ECK ASSOCIATES CORP 210,550 181,469 -13.81 10,894 9,874 -9.36
2017-11-08 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 20,429 23,229 13.71 1,057 1,264 19.58
2017-10-11 13F-HR American Financial Network Advisory Services Llc 135 7
2017-11-13 13F-HR ASCEND CAPITAL, LLC 0 164,648 0 8,959
2017-11-14 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 0 54,600 0 2,971
2017-11-06 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 261,358 265,358 1.53 13,523 14,438 6.77
2017-11-09 13F-HR CITADEL ADVISORS LLC Put 20,500 26,800 30.73 1,061 1,458 37.42
2017-10-12 13F-HR ATRIA INVESTMENTS LLC 5,427 5,714 5.29 281 311 10.68
2017-11-14 13F-HR Cubist Systematic Strategies, LLC 37,312 0 -100.00 1,931 0 -100.00
2017-10-20 13F-HR BAILLIE GIFFORD & CO 15,839,321 15,411,197 -2.70 819,526 838,523 2.32
2017-11-14 13F-HR Rock Springs Capital Management LP 100,000 125,000 25.00 5,174 6,801 31.45
2017-11-09 13F-HR JGP Global Gestao de Recursos Ltda. 19,634 20,603 4.94 1,016 1,121 10.33
2017-11-14 13F-HR Schonfeld Strategic Advisors LLC 28,218 0 -100.00 1,460 0 -100.00
2017-08-14 13F-HR Princeton Portfolio Strategies Group LLC 3,700 0 -100.00 233 0 -100.00
2017-11-08 13F-HR NEXT Financial Group, Inc 100 50 -50.00 5,000 3 -99.94
2017-11-06 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 6,627 6,565 -0.94 343 357 4.08
2017-07-11 13F-HR Addison Capital Co 6,570 0 -100.00 413 0 -100.00
2017-07-07 13F-HR CATAWBA CAPITAL MANAGEMENT /VA 3,780 0 -100.00 238 0 -100.00
2017-11-14 13F-HR BlackRock Inc. 7,453,483 7,535,539 1.10 385,644 410,007 6.32
2017-11-14 13F-HR SABBY MANAGEMENT, LLC Put 1,442 1,734 20.25 7,461 9,435 26.46
2017-11-06 13F-HR Spot Trading L.l.c. Put 8,000 26,600 232.50 414 1,447 249.52
2017-10-13 13F-HR NISA INVESTMENT ADVISORS L.L.C. 500 1,200 140.00 26 65 150.00
2017-11-15 13F-HR WOLVERINE TRADING, LLC 5,364 0 -100.00 286 0 -100.00
2017-11-14 13F-HR Magnetar Financial LLC 84,775 0 -100.00 4,386 0 -100.00
2017-11-01 13F-HR Mitsubishi UFJ Asset Management Co., Ltd. 13,765 14,204 3.19 712 773 8.57
2017-11-13 13F-HR Gideon Capital Advisors, Inc. 4,918 0 -100.00 254 0 -100.00
2017-11-14 13F-HR AHL Partners LLP 0 6,015 0 327
2017-08-10 13F-HR FNY Partners Fund LP 250 0 -100.00 15 0 -100.00
2017-10-25 13F-HR SIMPLEX TRADING, LLC 10,082 0 -100.00 521 0 -100.00
2017-11-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 3,845,518 3,542,628 -7.88 198,967 192,754 -3.12
2017-11-02 13F-HR Daiwa Securities Group Inc. 2,650 2,650 0.00 137 144 5.11
2017-10-24 13F-HR FIRST TRUST ADVISORS LP 937,383 677,279 -27.75 48,500 36,851 -24.02
2017-10-17 13F-HR CENTRAL TRUST Co 500 500 0.00 26 27 3.85
2017-08-14 13F-HR MILES CAPITAL, INC. 3,597 0 -100.00 226 0 -100.00
2017-11-13 13F-HR COLUMBIA WANGER ASSET MANAGEMENT LLC 413,994 605,174 46.18 21,420 32,928 53.73
2017-10-13 13F-HR Perkins Coie Trust Co 100 100 0.00 5 5 0.00
2017-11-06 13F-HR TORONTO DOMINION BANK 1,225 4,219 244.41 63 230 265.08
2017-11-13 13F-HR COMMONWEALTH BANK OF AUSTRALIA 200 0 -100.00 10 0 -100.00
2017-11-14 13F-HR Baird Financial Group, Inc. 17,816 6,565 -63.15 922 357 -61.28
2017-11-13 13F-HR PROFUND ADVISORS LLC 36,957 39,678 7.36 1,912 2,159 12.92
2017-11-14 13F-HR PDT Partners, LLC 166,246 277,003 66.62 8,602 15,072 75.22
2017-08-14 13F-HR THORNBURG INVESTMENT MANAGEMENT INC 265,164 0 -100.00 16,668 0 -100.00
2017-08-11 13F-HR Acrospire Investment Management LLC 100 0 -100.00 6 0 -100.00
2017-11-14 13F-HR BARCLAYS PLC Call 34,600 35,500 2.60 1,791 1,931 7.82
2017-11-13 13F-HR ENVESTNET ASSET MANAGEMENT INC 1,813 1,567 -13.57 94 85 -9.57
CUSIP: 812578102