| Fund | Previous Shares | Current Shares ▲▼ | Change in Shares ▲▼ | Previous Portfolio Weightage (%) | Current Portfolio Weightage (%) ▲▼ | Change in Weight (%) ▲▼ | Type |
|---|---|---|---|---|---|---|---|
| AIGH Capital Management LLC | 0 | 1,182,198 | +1,182,198 | 0.00 | 1.95 | +1.95 | buy |
| Worth Venture Partners, LLC | 0 | 294,248 | +294,248 | 0.00 | 0.66 | +0.66 | buy |
| Connective Capital Management, LLC | 0 | 137,055 | +137,055 | 0.00 | 0.48 | +0.48 | buy |
| MARSHALL WACE, LLP | 17,364 | 130,425 | +113,061 | 0.00 | 0.00 | +0.00 | buy |
| VANGUARD GROUP INC | 436,060 | 522,008 | +85,948 | 0.00 | 0.00 | +0.00 | buy |
| CITADEL ADVISORS LLC | 0 | 57,185 | +57,185 | 0.00 | 0.00 | +0.00 | buy |
| NORTHERN TRUST CORP | 33,209 | 60,667 | +27,458 | 0.00 | 0.00 | +0.00 | buy |
| TWO SIGMA INVESTMENTS, LP | 0 | 21,713 | +21,713 | 0.00 | 0.00 | +0.00 | buy |
| WOLVERINE TRADING, LLC | 0 | 19,673 | +19,673 | 0.00 | 0.00 | +0.00 | buy |
| CIBC WORLD MARKET INC. | 242,081 | 261,429 | +19,348 | 0.00 | 0.00 | -0.00 | buy |
| WealthPlan Investment Management, LLC | 0 | 17,443 | +17,443 | 0.00 | 0.01 | +0.01 | buy |
| MILLENNIUM MANAGEMENT LLC | 17,290 | 30,255 | +12,965 | 0.00 | 0.00 | +0.00 | buy |
| GEODE CAPITAL MANAGEMENT, LLC | 156,903 | 169,602 | +12,699 | 0.00 | 0.00 | -0.00 | buy |
| SIMPLEX TRADING, LLC | 1,411 | 13,814 | +12,403 | 0.00 | 0.00 | +0.00 | buy |
| LEVIN CAPITAL STRATEGIES, L.P. | 40,000 | 49,000 | +9,000 | 0.02 | 0.02 | +0.00 | buy |
| FMR LLC | 0 | 5,892 | +5,892 | 0.00 | 0.00 | +0.00 | buy |
| Investors Research Corp | 0 | 3,900 | +3,900 | 0.00 | 0.00 | +0.00 | buy |
| Hunting Hill Global Capital, LLC | 161,933 | 164,846 | +2,913 | 0.31 | 0.52 | +0.21 | buy |
| GROUP ONE TRADING LLC | 18,019 | 18,240 | +221 | 0.00 | 0.00 | -0.00 | buy |
| Quent Capital, LLC | 477 | 519 | +42 | 0.00 | 0.00 | -0.00 | buy |
| Newbridge Financial Services Group, Inc. | 0 | 1 | +1 | 0.00 | 0.00 | +0.00 | buy |
| BVF INC/IL | 976,149 | 976,149 | 0 | 0.11 | 0.10 | -0.00 | hold |
| Allworth Financial LP | 100 | 100 | 0 | 0.00 | 0.00 | -0.00 | hold |
| AllSquare Wealth Management LLC | 1 | 1 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Parallel Advisors, LLC | 1 | 1 | 0 | 0.00 | 0.00 | -0.00 | hold |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | 0 | 0 | 0 | 0.00 | 0.00 | 0.00 | hold |
| UMB Bank, n.a. | 2 | 2 | 0 | 0.00 | 0.00 | -0.00 | hold |
| STATE STREET CORP | 68,757 | 68,757 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Tower Research Capital LLC (TRC) | 6,883 | 3,003 | -3,880 | 0.00 | 0.00 | -0.00 | sell |
| GSA CAPITAL PARTNERS LLP | 15,590 | 0 | -15,590 | 0.01 | 0.00 | -0.01 | sell |
| Advisors Capital Management, LLC | 27,021 | 0 | -27,021 | 0.00 | 0.00 | -0.00 | sell |
| Soleus Capital Management, L.P. | 144,958 | 0 | -144,958 | 0.06 | 0.00 | -0.06 | sell |
| ARMISTICE CAPITAL, LLC | 164,000 | 0 | -164,000 | 0.02 | 0.00 | -0.02 | sell |
| Stonepine Capital Management, LLC | 686,240 | 0 | -686,240 | 0.92 | 0.00 | -0.92 | sell |
| Point72 Asset Management, L.P. | 717,722 | 0 | -717,722 | 0.01 | 0.00 | -0.01 | sell |
| Logos Global Management LP | 1,044,444 | 300,000 | -744,444 | 0.60 | 0.14 | -0.46 | sell |
| Vivo Capital, LLC | 1,855,191 | 855,191 | -1,000,000 | 0.82 | 0.29 | -0.53 | sell |