ASSERTIO THERAPEUTICS INC COM - 249908104
Detailed investor-level table based on 13F positions.
Early Q2 2021 data: only 1 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| VANGUARD GROUP INC | History | Added to | 2,701,716 | 37,553 | 0.0% | 0.0% | 1 | +729,216 | 36.97% | Q2 2014 | Aug 11, 2014 |
| BlackRock Fund Advisors | History | Reduced | 2,621,621 | 36,441 | 0.01% | 0.01% | 2 | -76,867 | -2.85% | Q2 2014 | Aug 06, 2014 |
| DELTEC ASSET MANAGEMENT LLC | History | Reduced | 2,299,109 | 31,958 | 6.78% | 8.14% | 3 | -236,500 | -9.33% | Q2 2014 | Aug 04, 2014 |
| BlackRock Institutional Trust Company, N.A. | History | Reduced | 1,935,011 | 26,897 | 0.0% | 0.0% | 4 | -49,774 | -2.51% | Q2 2014 | Aug 06, 2014 |
| TURNER INVESTMENTS, L.P. | History | Added to | 984,047 | 13,679 | 0.61% | 0.13% | 5 | +656,590 | 200.51% | Q2 2014 | Aug 11, 2014 |
| ACADIAN ASSET MANAGEMENT LLC | History | New | 633,413 | 8,802 | 0.04% | — | 6 | +633,413 | New | Q2 2014 | Jul 21, 2014 |
| EMERALD ADVISERS INC/PA | History | Reduced | 435,040 | 6,047 | 0.34% | 0.56% | 7 | -254,694 | -36.93% | Q2 2014 | Jul 17, 2014 |
| EMERALD MUTUAL FUND ADVISERS TRUST | History | Reduced | 396,365 | 5,509 | 0.51% | 0.82% | 8 | -196,242 | -33.12% | Q2 2014 | Jul 17, 2014 |
| CADENCE CAPITAL MANAGEMENT LLC | History | Added to | 343,358 | 4,773 | 0.23% | 0.05% | 9 | +253,608 | 282.57% | Q2 2014 | Jul 23, 2014 |
| DIMENSIONAL FUND ADVISORS LP | History | Added to | 335,105 | 4,658 | 0.0% | 0.0% | 10 | +224,219 | 202.21% | Q2 2014 | Aug 08, 2014 |
| CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. | History | Added to | 233,800 | 3,249 | 0.04% | 0.03% | 11 | +65,150 | 38.63% | Q2 2014 | Aug 11, 2014 |
| GLOBEFLEX CAPITAL L P | History | Added to | 179,700 | 2,497 | 0.27% | 0.19% | 12 | +67,677 | 60.41% | Q2 2014 | Jul 18, 2014 |
| BlackRock Investment Management, LLC | History | Added to | 167,987 | 2,335 | 0.0% | 0.0% | 13 | +11,233 | 7.17% | Q2 2014 | Aug 06, 2014 |
| Neuberger Berman Group LLC | History | Added to | 161,400 | 2,243 | 0.0% | 0.0% | 14 | +6,100 | 3.93% | Q2 2014 | Aug 05, 2014 |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | History | Reduced | 159,916 | 2,223 | 0.0% | 0.01% | 15 | -67,846 | -29.79% | Q2 2014 | Jul 30, 2014 |
| OXFORD ASSET MANAGEMENT | History | Added to | 135,769 | 1,883 | 0.07% | 0.04% | 16 | +57,311 | 73.05% | Q2 2014 | Jul 16, 2014 |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | History | Added to | 133,850 | 1,861 | 0.01% | 0.01% | 17 | +12,219 | 10.05% | Q2 2014 | Aug 07, 2014 |
| CREDIT SUISSE AG/ | History | Reduced | 132,361 | 1,840 | 0.0% | 0.0% | 18 | -5,955 | -4.31% | Q2 2014 | Aug 11, 2014 |
| TSP Capital Management Group, LLC | History | No change | 83,300 | 1,158 | 0.5% | 0.55% | 19 | 0 | 0.0% | Q2 2014 | Aug 01, 2014 |
| EAM Investors, LLC | History | Reduced | 74,553 | 1,036 | 0.2% | 0.34% | 20 | -54,150 | -42.07% | Q2 2014 | Aug 11, 2014 |
| STRS OHIO | History | Added to | 64,200 | 892 | 0.0% | 0.0% | 21 | +46,400 | 260.67% | Q2 2014 | Jul 24, 2014 |
| ProShare Advisors LLC | History | Reduced | 63,468 | 882 | 0.01% | 0.02% | 22 | -37,369 | -37.06% | Q2 2014 | Aug 08, 2014 |
| Swiss National Bank | History | No change | 59,900 | 833 | 0.0% | 0.0% | 23 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| RHUMBLINE ADVISERS | History | Reduced | 54,445 | 757 | 0.0% | 0.0% | 24 | -1,328 | -2.38% | Q2 2014 | Aug 06, 2014 |
| METROPOLITAN LIFE INSURANCE CO/NY | History | No change | 48,323 | 672 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| Gargoyle Investment Advisor L.L.C. | History | New | 48,106 | 669 | 0.25% | — | 26 | +48,106 | New | Q2 2014 | Aug 11, 2014 |
| AlphaMark Advisors, LLC | History | New | 45,500 | 632 | 0.38% | — | 27 | +45,500 | New | Q2 2014 | Jul 29, 2014 |
| Nationwide Fund Advisors | History | Added to | 44,666 | 621 | 0.0% | 0.0% | 28 | +1,004 | 2.3% | Q2 2014 | Aug 11, 2014 |
| Commonwealth Equity Services, Inc | History | No change | 40,991 | 570 | 0.01% | 0.01% | 29 | 0 | 0.0% | Q2 2014 | Jul 23, 2014 |
| TOCQUEVILLE ASSET MANAGEMENT L.P. | History | New | 40,000 | 556 | 0.01% | — | 30 | +40,000 | New | Q2 2014 | Jul 30, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Added to | 39,533 | 549 | 0.0% | 0.0% | 31 | +1,111 | 2.89% | Q2 2014 | Aug 08, 2014 |
| SECOR Capital Advisors, LP | History | Added to | 37,343 | 519 | 0.27% | 0.25% | 32 | +1,675 | 4.7% | Q2 2014 | Jul 23, 2014 |
| BLACKROCK ADVISORS LLC | History | Reduced | 34,652 | 482 | 0.0% | 16.25% | 33 | -4,939 | -12.48% | Q2 2014 | Aug 06, 2014 |
| DekaBank Deutsche Girozentrale | History | Reduced | 33,400 | 464 | 0.01% | 0.01% | 34 | -1,700 | -4.84% | Q2 2014 | Aug 08, 2014 |
| Airain ltd | History | New | 31,837 | 443 | 0.04% | — | 35 | +31,837 | New | Q2 2014 | Aug 05, 2014 |
| PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO | History | No change | 27,900 | 388 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| ALGERT COLDIRON INVESTORS LLC | History | Added to | 19,040 | 265 | 0.17% | 0.06% | 37 | +7,930 | 71.38% | Q2 2014 | Aug 11, 2014 |
| COMMONWEALTH BANK OF AUSTRALIA | History | New | 17,393 | 242 | 0.0% | — | 38 | +17,393 | New | Q2 2014 | Aug 11, 2014 |
| CAPITAL MANAGEMENT ASSOCIATES /NY/ | History | New | 17,000 | 236 | 0.04% | — | 39 | +17,000 | New | Q2 2014 | Aug 06, 2014 |
| Wellington Shields Capital Management, LLC | History | Reduced | 17,000 | 236 | 0.04% | 0.04% | 40 | -1,000 | -5.56% | Q2 2014 | Aug 06, 2014 |
| NAVELLIER & ASSOCIATES INC | History | New | 15,400 | 214 | 0.01% | — | 41 | +15,400 | New | Q2 2014 | Jul 09, 2014 |
| BlackRock Group LTD | History | Reduced | 11,976 | 166 | 0.0% | 0.0% | 42 | -1,850 | -13.38% | Q2 2014 | Aug 06, 2014 |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | History | New | 10,000 | 138 | 0.0% | — | 43 | +10,000 | New | Q2 2014 | Aug 06, 2014 |
| RidgeWorth Capital Management LLC | History | New | 4,948 | 69 | 0.0% | — | 44 | +4,948 | New | Q2 2014 | Jul 31, 2014 |
| FIRST QUADRANT L P/CA | History | Reduced | 3,400 | 47 | 0.0% | 0.01% | 45 | -38,500 | -91.89% | Q2 2014 | Jul 31, 2014 |
| TEACHER RETIREMENT SYSTEM OF TEXAS | History | No change | 2,186 | 30 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2014 | Aug 05, 2014 |
| Global X Management CO LLC | History | Added to | 1,918 | 27 | 0.0% | 0.0% | 47 | +301 | 18.61% | Q2 2014 | Jul 31, 2014 |
| BlackRock Inc. | History | Reduced | 1,307 | 18 | 0.0% | 0.0% | 48 | -348 | -21.03% | Q2 2014 | Aug 06, 2014 |
| FIRST MERCANTILE TRUST CO | History | New | 1,216 | 17 | 0.0% | — | 49 | +1,216 | New | Q2 2014 | Jul 22, 2014 |
| FEDERATED INVESTORS INC /PA/ | History | New | 623 | 9 | 0.0% | — | 50 | +623 | New | Q2 2014 | Aug 07, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 190 | 3 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| RIMA SENVEST MANAGEMENT, L.L.C. | History | Closed out | 0 | 0 | — | 5.04% | — | -4,470,613 | -100.0% | Q1 2014 | May 15, 2014 |
| Broadfin Capital, LLC | History | Closed out | 0 | 0 | — | 4.48% | — | -3,190,816 | -100.0% | Q1 2014 | May 15, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.02% | — | -2,941,423 | -100.0% | Q1 2014 | May 15, 2014 |
| MILLENNIUM MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.1% | — | -2,279,121 | -100.0% | Q1 2014 | May 15, 2014 |
| STATE STREET CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -1,885,389 | -100.0% | Q1 2014 | May 15, 2014 |
| FMR LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,042,100 | -100.0% | Q1 2014 | May 15, 2014 |
| D. E. Shaw & Co., Inc. | History | Closed out | 0 | 0 | — | 0.02% | — | -945,957 | -100.0% | Q1 2014 | May 15, 2014 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -793,219 | -100.0% | Q1 2014 | May 14, 2014 |
| Century Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.44% | — | -653,639 | -100.0% | Q1 2014 | May 14, 2014 |
| BOGLE INVESTMENT MANAGEMENT L P /DE/ | History | Closed out | 0 | 0 | — | 0.51% | — | -510,720 | -100.0% | Q1 2014 | May 14, 2014 |
| Allianz Asset Management AG | History | Closed out | 0 | 0 | — | 0.01% | — | -500,801 | -100.0% | Q1 2014 | May 28, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -484,500 | -100.0% | Q1 2014 | May 15, 2014 |
| TEACHERS ADVISORS INC | History | Closed out | 0 | 0 | — | 0.02% | — | -477,887 | -100.0% | Q1 2014 | May 13, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -398,004 | -100.0% | Q1 2014 | May 13, 2014 |
| TIAA CREF INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -324,724 | -100.0% | Q1 2014 | May 13, 2014 |
| Bank of New York Mellon Corp | History | Closed out | 0 | 0 | — | 0.0% | — | -315,659 | -100.0% | Q1 2014 | May 14, 2014 |
| FULLER & THALER ASSET MANAGEMENT, INC. | History | Closed out | 0 | 0 | — | 0.22% | — | -308,600 | -100.0% | Q1 2014 | May 13, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -301,648 | -100.0% | Q1 2014 | May 14, 2014 |
| CASTLEARK MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.12% | — | -296,354 | -100.0% | Q1 2014 | May 20, 2014 |
| ISZO CAPITAL MANAGEMENT LP | History | Closed out | 0 | 0 | — | 2.58% | — | -295,744 | -100.0% | Q1 2014 | May 14, 2014 |
| Weiss Multi-Strategy Advisers LLC | History | Closed out | 0 | 0 | — | 0.08% | — | -265,340 | -100.0% | Q1 2014 | May 15, 2014 |
| LORD, ABBETT & CO. LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -252,209 | -100.0% | Q1 2014 | May 15, 2014 |
| PENN CAPITAL MANAGEMENT CO INC | History | Closed out | 0 | 0 | — | 0.13% | — | -244,623 | -100.0% | Q1 2014 | May 15, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.02% | — | -239,088 | -100.0% | Q1 2014 | May 15, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -231,100 | -100.0% | Q1 2014 | Apr 18, 2014 |
| TWO SIGMA INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -211,738 | -100.0% | Q1 2014 | May 15, 2014 |
| Connor, Clark & Lunn Investment Management Ltd. | History | Closed out | 0 | 0 | — | 0.02% | — | -198,000 | -100.0% | Q1 2014 | May 14, 2014 |
| PDT Partners, LLC | History | Closed out | 0 | 0 | — | 0.06% | — | -184,035 | -100.0% | Q1 2014 | May 15, 2014 |
| RUSSELL FRANK CO/ | History | Closed out | 0 | 0 | — | 0.0% | — | -168,135 | -100.0% | Q1 2014 | May 16, 2014 |
| GRT CAPITAL PARTNERS LLC | History | Closed out | 0 | 0 | — | 0.27% | — | -162,574 | -100.0% | Q1 2014 | May 15, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Closed out | 0 | 0 | — | 0.0% | — | -149,010 | -100.0% | Q1 2014 | May 14, 2014 |
| A.R.T. Advisors, LLC | History | Closed out | 0 | 0 | — | 0.11% | — | -146,256 | -100.0% | Q1 2014 | May 15, 2014 |
| KNOTT DAVID M | History | Closed out | 0 | 0 | — | 0.36% | — | -130,600 | -100.0% | Q1 2014 | May 13, 2014 |
| HIGHBRIDGE CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -123,662 | -100.0% | Q1 2014 | May 16, 2014 |
| PRUDENTIAL FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -103,936 | -100.0% | Q1 2014 | May 14, 2014 |
| TWO SIGMA ADVISERS, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -102,944 | -100.0% | Q1 2014 | May 15, 2014 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -102,699 | -100.0% | Q1 2014 | May 08, 2014 |
| Ghost Tree Capital, LLC | History | Closed out | 0 | 0 | — | 0.86% | — | -100,000 | -100.0% | Q1 2014 | May 15, 2014 |
| Iguana Healthcare Management, LLC | History | Closed out | 0 | 0 | — | 0.67% | — | -100,000 | -100.0% | Q1 2014 | May 16, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -96,506 | -100.0% | Q1 2014 | May 13, 2014 |
| JACOBS LEVY EQUITY MANAGEMENT, INC | History | Closed out | 0 | 0 | — | 0.02% | — | -90,669 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF MONTREAL /CAN/ | History | Closed out | 0 | 0 | — | 0.0% | — | -84,600 | -100.0% | Q1 2014 | May 15, 2014 |
| Robeco Institutional Asset Management B.V. | History | Closed out | 0 | 0 | — | 0.01% | — | -77,475 | -100.0% | Q1 2014 | May 07, 2014 |
| Nine Chapters Capital Management LLC | History | Closed out | 0 | 0 | — | 0.11% | — | -64,600 | -100.0% | Q1 2014 | May 15, 2014 |
| Convergence Investment Partners, LLC | History | Closed out | 0 | 0 | — | 0.14% | — | -64,146 | -100.0% | Q1 2014 | May 08, 2014 |
| TUDOR INVESTMENT CORP ET AL | History | Closed out | 0 | 0 | — | 0.04% | — | -63,632 | -100.0% | Q1 2014 | May 15, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -55,629 | -100.0% | Q1 2014 | May 15, 2014 |
| ING INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -47,800 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.0% | — | -47,700 | -100.0% | Q1 2014 | May 16, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.98% | — | -46,743 | -100.0% | Q1 2014 | Aug 08, 2014 |
| INSIGHT CAPITAL RESEARCH & MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.16% | — | -46,435 | -100.0% | Q1 2014 | May 08, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.0% | — | -45,586 | -100.0% | Q1 2014 | May 15, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Closed out | 0 | 0 | — | 0.0% | — | -42,948 | -100.0% | Q1 2014 | May 15, 2014 |
| PERKINS CAPITAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.39% | — | -38,500 | -100.0% | Q1 2014 | May 07, 2014 |
| Spark Investment Management LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -29,000 | -100.0% | Q1 2014 | May 13, 2014 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -26,400 | -100.0% | Q1 2014 | May 15, 2014 |
| NOMURA HOLDINGS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -23,806 | -100.0% | Q1 2014 | May 14, 2014 |
| TFS CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -23,799 | -100.0% | Q1 2014 | May 05, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -22,996 | -100.0% | Q1 2014 | May 23, 2014 |
| MARTINGALE ASSET MANAGEMENT L P | History | Closed out | 0 | 0 | — | 0.01% | — | -22,706 | -100.0% | Q1 2014 | May 14, 2014 |
| PILLAR PACIFIC CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -22,500 | -100.0% | Q1 2014 | May 02, 2014 |
| ZACKS INVESTMENT MANAGEMENT | History | Closed out | 0 | 0 | — | 0.01% | — | -20,779 | -100.0% | Q1 2014 | May 13, 2014 |
| PRINCIPAL FINANCIAL GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,824 | -100.0% | Q1 2014 | May 13, 2014 |
| SAC Capital Advisors LP | History | Closed out | 0 | 0 | — | 0.0% | — | -17,403 | -100.0% | Q1 2014 | May 15, 2014 |
| GROUP ONE TRADING, L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -16,898 | -100.0% | Q1 2014 | May 07, 2014 |
| GSA CAPITAL PARTNERS LLP | History | Closed out | 0 | 0 | — | 0.02% | — | -15,565 | -100.0% | Q1 2014 | May 14, 2014 |
| Jefferies Group LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -14,666 | -100.0% | Q1 2014 | May 16, 2014 |
| PACIFIC ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -14,616 | -100.0% | Q1 2014 | Jun 06, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,986 | -100.0% | Q1 2014 | May 15, 2014 |
| MONETARY MANAGEMENT GROUP INC | History | Closed out | 0 | 0 | — | 0.08% | — | -12,500 | -100.0% | Q1 2014 | May 08, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,098 | -100.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -11,680 | -100.0% | Q1 2014 | May 15, 2014 |
| SCOTIA CAPITAL INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -11,500 | -100.0% | Q1 2014 | May 14, 2014 |
| Numeric Investors LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,500 | -100.0% | Q1 2014 | May 06, 2014 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -10,267 | -100.0% | Q1 2014 | May 13, 2014 |
| SPRINGBOK CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -6,240 | -100.0% | Q1 2014 | May 15, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -5,000 | -100.0% | Q1 2014 | May 15, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -3,800 | -100.0% | Q1 2014 | May 15, 2014 |
| CANADA PENSION PLAN INVESTMENT BOARD | History | Closed out | 0 | 0 | — | 0.0% | — | -3,700 | -100.0% | Q1 2014 | May 09, 2014 |
| FIFTH THIRD BANCORP | History | Closed out | 0 | 0 | — | 0.0% | — | -3,000 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -1,371 | -100.0% | Q1 2014 | May 15, 2014 |
| Sanctuary Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -851 | -100.0% | Q1 2014 | Apr 23, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -788 | -100.0% | Q1 2014 | May 14, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | Closed out | 0 | 0 | — | — | — | -14 | -100.0% | Q1 2014 | May 13, 2014 |