| Fund | Previous Shares | Current Shares ▲▼ | Change in Shares ▲▼ | Previous Portfolio Weightage (%) | Current Portfolio Weightage (%) ▲▼ | Change in Weight (%) ▲▼ | Type |
|---|---|---|---|---|---|---|---|
| Opaleye Management Inc. | 0 | 3,985,340 | +3,985,340 | 0.00 | 0.84 | +0.84 | buy |
| MORGAN STANLEY | 0 | 1,699,550 | +1,699,550 | 0.00 | 0.00 | +0.00 | buy |
| Soleus Capital Management, L.P. | 8,300,980 | 9,870,980 | +1,570,000 | 0.59 | 0.86 | +0.28 | buy |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 0 | 789,331 | +789,331 | 0.00 | 0.06 | +0.06 | buy |
| Ally Bridge Group (NY) LLC | 3,144,164 | 3,659,255 | +515,091 | 2.58 | 17.20 | +14.62 | buy |
| KINGDON CAPITAL MANAGEMENT, L.L.C. | 3,040,000 | 3,540,000 | +500,000 | 0.39 | 0.53 | +0.14 | buy |
| BANK OF MONTREAL /CAN/ | 0 | 348,300 | +348,300 | 0.00 | 0.00 | +0.00 | buy |
| VANGUARD GROUP INC | 3,792,958 | 4,092,958 | +300,000 | 0.00 | 0.00 | +0.00 | buy |
| Monaco Asset Management SAM | 0 | 249,563 | +249,563 | 0.00 | 0.08 | +0.08 | buy |
| RENAISSANCE TECHNOLOGIES LLC | 310,212 | 514,324 | +204,112 | 0.00 | 0.00 | +0.00 | buy |
| CITADEL ADVISORS LLC | 0 | 191,155 | +191,155 | 0.00 | 0.00 | +0.00 | buy |
| MILLENNIUM MANAGEMENT LLC | 62,308 | 129,883 | +67,575 | 0.00 | 0.00 | +0.00 | buy |
| IEQ CAPITAL, LLC | 0 | 54,500 | +54,500 | 0.00 | 0.00 | +0.00 | buy |
| Tower Research Capital LLC (TRC) | 0 | 11,144 | +11,144 | 0.00 | 0.00 | +0.00 | buy |
| LAZARD ASSET MANAGEMENT LLC | 11,140 | 11,500 | +360 | 0.00 | 0.00 | +0.00 | buy |
| SIMPLEX TRADING, LLC | 0 | 26 | +26 | 0.00 | 0.00 | 0.00 | buy |
| ZAZOVE ASSOCIATES LLC | 65,456 | 65,456 | 0 | 0.00 | 0.00 | +0.00 | hold |
| GRIES FINANCIAL LLC | 23,845 | 23,845 | 0 | 0.00 | 0.00 | -0.00 | hold |
| CSS LLC/IL | 81,957 | 81,957 | 0 | 0.00 | 0.00 | +0.00 | hold |
| GEODE CAPITAL MANAGEMENT, LLC | 904,477 | 904,477 | 0 | 0.00 | 0.00 | -0.00 | hold |
| TENOR CAPITAL MANAGEMENT Co., L.P. | 250,000 | 250,000 | 0 | 0.00 | 0.00 | +0.00 | hold |
| Walleye Trading LLC | 14,095 | 14,095 | 0 | 0.00 | 0.00 | +0.00 | hold |
| Bank of New York Mellon Corp | 43,593 | 43,593 | 0 | 0.00 | 0.00 | +0.00 | hold |
| Carlyle Group Inc. | 8,761,891 | 8,761,891 | 0 | 0.26 | 0.32 | +0.06 | hold |
| Summit Trail Advisors, LLC | 65,000 | 65,000 | 0 | 0.00 | 0.00 | +0.00 | hold |
| Octagon Capital Advisors LP | 4,468,114 | 4,468,114 | 0 | 0.55 | 0.56 | +0.01 | hold |
| Velan Capital Investment Management LP | 11,219,036 | 11,219,036 | 0 | 6.20 | 6.06 | -0.15 | hold |
| Qiming U.S. Ventures Management, LLC | 8,519,648 | 8,519,648 | 0 | 7.92 | 6.16 | -1.76 | hold |
| NORTHERN TRUST CORP | 154,909 | 154,909 | 0 | 0.00 | 0.00 | +0.00 | hold |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC | 36,899 | 36,899 | 0 | 0.00 | 0.00 | -0.00 | hold |
| GROUP ONE TRADING LLC | 1 | 1 | 0 | 0.00 | 0.00 | -0.00 | hold |
| STATE STREET CORP | 229,994 | 229,994 | 0 | 0.00 | 0.00 | -0.00 | hold |
| FMR LLC | 100 | 0 | -100 | 0.00 | 0.00 | -0.00 | sell |
| BANK OF AMERICA CORP /DE/ | 3,180,301 | 3,180,059 | -242 | 0.00 | 0.00 | +0.00 | sell |
| Saturn V Capital Management LP | 1,387,015 | 1,386,215 | -800 | 0.41 | 0.42 | +0.01 | sell |
| Walleye Capital LLC | 700,436 | 695,014 | -5,422 | 0.00 | 0.00 | +0.00 | sell |
| TWO SIGMA INVESTMENTS, LP | 66,093 | 54,168 | -11,925 | 0.00 | 0.00 | -0.00 | sell |
| Mariner, LLC | 652,749 | 590,510 | -62,239 | 0.00 | 0.00 | -0.00 | sell |
| Forefront Analytics, LLC | 110,792 | 0 | -110,792 | 0.04 | 0.00 | -0.04 | sell |
| Nantahala Capital Management, LLC | 2,402,904 | 2,228,265 | -174,639 | 0.21 | 0.18 | -0.04 | sell |
| BOOTHBAY FUND MANAGEMENT, LLC | 233,159 | 0 | -233,159 | 0.01 | 0.00 | -0.01 | sell |
| Ionic Capital Management LLC | 417,132 | 0 | -417,132 | 0.01 | 0.00 | -0.01 | sell |
| SCOGGIN MANAGEMENT LP | 508,045 | 0 | -508,045 | 0.48 | 0.00 | -0.48 | sell |
| Ikarian Capital, LLC | 1,125,087 | 0 | -1,125,087 | 0.29 | 0.00 | -0.29 | sell |
| Woodline Partners LP | 3,000,000 | 1,732,993 | -1,267,007 | 0.02 | 0.01 | -0.01 | sell |
| Altium Capital Management LLC | 2,868,000 | 0 | -2,868,000 | 1.16 | 0.00 | -1.16 | sell |
| FRANKLIN RESOURCES INC | 4,500,217 | 0 | -4,500,217 | 0.00 | 0.00 | -0.00 | sell |
| SPHERA FUNDS MANAGEMENT LTD. | 5,687,134 | 713,063 | -4,974,071 | 0.96 | 1.04 | +0.09 | sell |
| BVF INC/IL | 9,900,000 | 0 | -9,900,000 | 0.19 | 0.00 | -0.19 | sell |