ALPS ETF TR SBIO
MED BREAKTHGH · ETP · CUSIP 00162Q593
36
institutional holders
-2 vs Q3 2023
1.4m
shares reported held*
$45.5mreported value*
6 new
6 added
13 reduced
7 sold out
net bought ≈ $1.2m (+10.6k shares)
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $32.97. Options: 2 managers hold calls ($250.3k notional), 1 hold puts ($131.8k).
Trends to Q4 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 45 |
| Q4 2022 | 49 |
| Q1 2023 | 41 |
| Q2 2023 | 43 |
| Q3 2023 | 38 |
| Q4 2023 | 36 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 11 | 24 |
| Q1 2023 | 10 | 28 |
| Q2 2023 | 17 | 17 |
| Q3 2023 | 15 | 17 |
| Q4 2023 | 12 | 20 |
Calls vs puts
Options held, notional value, last 4 quarters. P/C = puts ÷ calls
CallsPuts
Numbers
| Quarter | Calls | Puts | P/C |
|---|---|---|---|
| Q1 2023 | $201.2k | $54.4k | 0.27 |
| Q2 2023 | $873.9k | $37.9k | 0.04 |
| Q3 2023 | $321.2k | $108.9k | 0.34 |
| Q4 2023 | $250.3k | $131.8k | 0.53 |
Biggest buyers
| MORGAN STANLEY | Added | +49.4k |
| WELLS FARGO & COMPANY/MN | Added | +30.9k |
| BANK OF AMERICA CORP /DE/ | Added | +28.3k |
| Virtu Financial LLC | New | +15.7k |
| GRIFFIN ASSET MANAGEMENT, INC. | New | +8.0k |
| Retirement Planning Co of New England, Inc. | New | +7.8k |
| McGuire Investment Group, LLC | New | +7.4k |
| Phoenix Wealth Advisors | Added | +1.1k |
| Kestra Advisory Services, LLC | Added | +500 |
| PENSION & WEALTH MANAGEMENT ADVISORS, INC. | Added | +186 |
Biggest sellers
| Strategic Financial Services, Inc. | Reduced | -44.5k |
| Ridgewood Investments LLC | Sold out | -25.8k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Sold out | -18.6k |
| ROYAL BANK OF CANADA | Reduced | -13.3k |
| NTV Asset Management LLC | Reduced | -12.5k |
| CITADEL ADVISORS LLC | Reduced | -9.9k |
| Cambridge Investment Research Advisors, Inc. | Sold out | -8.9k |
| COMERICA BANK | Reduced | -1.4k |
| HighMark Wealth Management LLC | Sold out | -850 |
| US BANCORP \DE\ | Reduced | -770 |
Biggest calls
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Reduced | $233.9k7.1k shares |
| CITADEL ADVISORS LLC | Reduced | $16.5k500 shares |
Biggest puts
| CITADEL ADVISORS LLC | Unchanged | $131.8k4.0k shares |
Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.
Holders, Q4 2023
| Manager | Shares | Change |
|---|---|---|
| DAVENPORT & Co LLC 0.16% of their portfolio | 687.8k $22.7m | Reduced -125 |
| MORGAN STANLEY 0.00% of their portfolio | 171.2k $5.6m | Added +49.4k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 151.9k $5.0m | Added +28.3k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 80.6k $2.7m | Added +30.9k |
| UBS Group AG 0.00% of their portfolio | 77.8k $2.6m | Reduced -717 |
| NTV Asset Management LLC 0.18% of their portfolio | 32.7k $1.1m | Reduced -12.5k |
| Strategic Financial Services, Inc. 0.05% of their portfolio | 19.9k $654.6k | Reduced -44.5k |
| LPL Financial LLC 0.00% of their portfolio | 19.5k $641.0k | Reduced -92 |
| CITADEL ADVISORS LLC 0.00% of their portfolio | 18.7k $616.4k | Reduced -9.9k |
| GTS SECURITIES LLC 0.01% of their portfolio | 17.9k $589.4k | Reduced -272 |
| Virtu Financial LLC 0.04% of their portfolio | 15.7k $518.0k | New |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 15.5k $510.0k | Reduced -13.3k |
| Kestra Advisory Services, LLC 0.00% of their portfolio | 14.7k $483.8k | Added +500 |
| EXENCIAL WEALTH ADVISORS, LLC 0.02% of their portfolio | 12.1k $397.5k | Reduced -197 |
| Phoenix Wealth Advisors 0.25% of their portfolio | 10.9k $358.8k | Added +1.1k |
| GRIFFIN ASSET MANAGEMENT, INC. 0.03% of their portfolio | 8.0k $262.4k | New |
| Retirement Planning Co of New England, Inc. 0.12% of their portfolio | 7.8k $255.5k | New |
| McGuire Investment Group, LLC 0.04% of their portfolio | 7.4k $243.8k | New |
| AllSquare Wealth Management LLC 0.06% of their portfolio | 3.0k $98.7k | Reduced -165 |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 2.2k $73.5k | Reduced -415 |
| CWM, LLC 0.00% of their portfolio | 1.4k $46.0k | Unchanged |
| Northwest Capital Management Inc 0.02% of their portfolio | 1.4k $46.1k | Unchanged |
| US BANCORP \DE\ 0.00% of their portfolio | 1.0k $32.9k | Reduced -770 |
| COMERICA BANK 0.00% of their portfolio | 810 $26.7k | Reduced -1.4k |
| FIRST MANHATTAN CO. LLC. 0.00% of their portfolio | 400 $13.2k | Unchanged |
| PENSION & WEALTH MANAGEMENT ADVISORS, INC. 0.01% of their portfolio | 293 $9.7k | Added +186 |
| SIGNATUREFD, LLC 0.00% of their portfolio | 200 $6.6k | Unchanged |
| Asset Dedication, LLC 0.00% of their portfolio | 167 $6.0k | Unchanged |
| Farther Finance Advisors, LLC 0.00% of their portfolio | 128 $4.2k | Unchanged |
| BANK OF MONTREAL /CAN/ 0.00% of their portfolio | 100 $3.3k | New |
| Tower Research Capital LLC (TRC) 0.00% of their portfolio | 100 $3.3k | Unchanged |
| First Command Advisory Services, Inc. 0.00% of their portfolio | 100 $3.3k | Unchanged |
| Salomon & Ludwin, LLC 0.00% of their portfolio | 100 $2.7k | Unchanged |
| ALBION FINANCIAL GROUP /UT 0.00% of their portfolio | 12 $396 | Unchanged |
| ORG Partners LLC 0.00% of their portfolio | 11 $363 | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |