Stock Transactions — CAPRICOR THERAPEUTICS INC

Total Bought
3,409,456
57 transactions
Total Sold
2,748,100
62 transactions
Net
+661,356
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
J. Goldman & Co LP0481,981+481,9810.000.13+0.13buy
DG Capital Management, LLC0470,333+470,3330.001.96+1.96buy
Ikarian Capital, LLC0264,642+264,6420.000.39+0.39buy
NATIONAL BANK OF CANADA /FI/168,700397,700+229,0000.000.00+0.00buy
GSA CAPITAL PARTNERS LLP0215,675+215,6750.000.13+0.13buy
TWO SIGMA INVESTMENTS, LP155,837355,796+199,9590.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC11,058191,292+180,2340.000.00+0.00buy
CITADEL ADVISORS LLC0150,522+150,5220.000.00+0.00buy
Pier Capital, LLC367,717496,554+128,8370.560.56+0.00buy
Quinn Opportunity Partners LLC0128,338+128,3380.000.07+0.07buy
Point72 Asset Management, L.P.0118,591+118,5910.000.00+0.00buy
BOOTHBAY FUND MANAGEMENT, LLC0103,737+103,7370.000.02+0.02buy
GOLDMAN SACHS GROUP INC71,971175,642+103,6710.000.00+0.00buy
STATE OF WISCONSIN INVESTMENT BOARD071,555+71,5550.000.00+0.00buy
JANE STREET GROUP, LLC068,145+68,1450.000.00+0.00buy
Voleon Capital Management LP043,147+43,1470.000.01+0.01buy
HBK Sorce Advisory LLC127,626170,577+42,9510.030.03-0.01buy
Brooklyn Investment Group038,013+38,0130.000.03+0.03buy
MILLENNIUM MANAGEMENT LLC173,848202,459+28,6110.000.00-0.00buy
First Financial Bank - Trust Division028,089+28,0890.000.02+0.02buy
LPL Financial LLC17,72142,701+24,9800.000.00+0.00buy
WOLVERINE TRADING, LLC46,92670,924+23,9980.010.01-0.00buy
AlphaQuest LLC6,05130,025+23,9740.010.01+0.01buy
KENNEDY CAPITAL MANAGEMENT LLC75,01994,420+19,4010.020.02-0.00buy
GROUP ONE TRADING LLC019,063+19,0630.000.00+0.00buy
MARSHALL WACE, LLP80,18799,113+18,9260.000.00-0.00buy
Brevan Howard Capital Management LP017,045+17,0450.000.00+0.00buy
OSAIC HOLDINGS, INC.18,47233,159+14,6870.000.00-0.00buy
ENVESTNET ASSET MANAGEMENT INC013,742+13,7420.000.00+0.00buy
Mariner, LLC013,609+13,6090.000.00+0.00buy
TWO SIGMA ADVISERS, LP60,62274,200+13,5780.000.00-0.00buy
Regal Investment Advisors LLC012,811+12,8110.000.01+0.01buy
PVG ASSET MANAGEMENT CORP012,562+12,5620.000.33+0.33buy
AQR CAPITAL MANAGEMENT LLC012,361+12,3610.000.00+0.00buy
Legacy Capital Wealth Partners, LLC012,000+12,0000.000.02+0.02buy
Cetera Investment Advisers010,586+10,5860.000.00+0.00buy
Point72 Asia (Singapore) Pte. Ltd.08,215+8,2150.000.01+0.01buy
MONETA GROUP INVESTMENT ADVISORS LLC27,45434,454+7,0000.000.00-0.00buy
D. E. Shaw & Co., Inc.10,73315,945+5,2120.000.00-0.00buy
Parkside Financial Bank & Trust05,000+5,0000.000.00+0.00buy
Bank of New York Mellon Corp90,35394,670+4,3170.000.00-0.00buy
Farther Finance Advisors, LLC03,885+3,8850.000.00+0.00buy
Quarry LP03,054+3,0540.000.01+0.01buy
Police & Firemen's Retirement System of New Jersey8,33411,349+3,0150.000.00-0.00buy
Russell Investments Group, Ltd.2,2805,066+2,7860.000.00+0.00buy
PRICE T ROWE ASSOCIATES INC /MD/19,01820,574+1,5560.000.00-0.00buy
FNY Investment Advisers, LLC1001,600+1,5000.000.00+0.00buy
Virtus Investment Advisers, LLC6,7468,163+1,4170.020.02-0.01buy
MORGAN STANLEY550,581551,694+1,1130.000.00-0.00buy
Point72 (DIFC) Ltd0516+5160.000.00+0.00buy
WELLINGTON MANAGEMENT GROUP LLP131,877132,315+4380.000.00-0.00buy
Optiver Holding B.V.0338+3380.000.00+0.00buy
State of Wyoming2,2162,516+3000.000.00-0.00buy
Arax Advisory Partners0182+1820.000.00+0.00buy
GAMMA Investing LLC095+950.000.00+0.00buy
Rockefeller Capital Management L.P.093+930.000.00+0.00buy
Scarborough Advisors, LLC070+700.000.00+0.00buy
MAI Capital Management4,0324,03200.000.00-0.00hold
Ameritas Investment Partners, Inc.3,8323,83200.000.00-0.00hold
ALLIANCEBERNSTEIN L.P.78,72078,72000.000.00-0.00hold
Sterling Capital Management LLC939300.000.00-0.00hold
Harel Insurance Investments & Financial Services Ltd.68968900.000.00-0.00hold
Allworth Financial LP656500.000.00-0.00hold
Coastal Bridge Advisors, LLC10,89410,89400.010.01-0.00hold
Black Diamond Financial, LLC277,737277,73700.430.22-0.20hold
Nuveen, LLC89,07389,07300.000.00-0.00hold
Activest Wealth Management5,0005,00000.010.01-0.00hold
New Millennium Group LLC161600.000.00-0.00hold
Federation des caisses Desjardins du Quebec1,1061,10600.000.00-0.00hold
US BANCORP \DE\7,4627,46200.000.00-0.00hold
NEW YORK STATE COMMON RETIREMENT FUND5,8005,80000.000.00-0.00hold
CHARLES SCHWAB INVESTMENT MANAGEMENT INC120,285120,28500.000.00-0.00hold
FARALLON CAPITAL MANAGEMENT LLC41,00041,00000.000.00-0.00hold
AMALGAMATED BANK1,2641,26400.000.00-0.00hold
ELLERSON GROUP INC /ADV17,10017,10000.120.08-0.04hold
NISA INVESTMENT ADVISORS, LLC45345300.000.00-0.00hold
Aquatic Capital Management LLC10-10.000.00-0.00sell
COMMONWEALTH EQUITY SERVICES, LLC30,86230,860-20.000.00-0.00sell
BESSEMER GROUP INC260-260.000.000.00sell
EverSource Wealth Advisors, LLC350-350.000.00-0.00sell
SBI Securities Co., Ltd.10367-360.000.00-0.00sell
ROTHSCHILD INVESTMENT LLC600-600.000.00-0.00sell
NOMURA HOLDINGS INC14,26714,184-830.000.00-0.00sell
CWM, LLC382285-970.000.00-0.00sell
Caitong International Asset Management Co., Ltd1380-1380.000.00-0.00sell
BNP Paribas Asset Management Holding S.A.4480-4480.000.00-0.00sell
FMR LLC24,19023,690-5000.000.00-0.00sell
Invesco Ltd.14,52413,655-8690.000.00-0.00sell
HighTower Advisors, LLC2,3021,200-1,1020.000.00-0.00sell
MANUFACTURERS LIFE INSURANCE COMPANY, THE14,16112,912-1,2490.000.00-0.00sell
WELLS FARGO & COMPANY/MN41,30239,994-1,3080.000.00-0.00sell
GEODE CAPITAL MANAGEMENT, LLC963,080961,566-1,5140.000.00-0.00sell
JONES FINANCIAL COMPANIES LLLP1,99680-1,9160.000.00-0.00sell
Tower Research Capital LLC (TRC)6,7484,253-2,4950.000.00-0.00sell
ALPS ADVISORS INC24,67122,112-2,5590.000.00-0.00sell
RHUMBLINE ADVISERS53,45050,879-2,5710.000.00-0.00sell
DEUTSCHE BANK AG\27,76725,089-2,6780.000.00-0.00sell
JPMORGAN CHASE & CO195,189189,799-5,3900.000.00-0.00sell
MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.23,57617,945-5,6310.000.00-0.00sell
MetLife Investment Management, LLC22,24214,236-8,0060.000.00-0.00sell
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