Vault-13

ANI PHARMACEUTICALS INC ANIP

COM · Common Stock · CUSIP 00182C103 · ISIN US00182C1036

139 institutional holders +13 vs Q4 2022
10,408,03410.4m shares reported held*
$413.4mreported value*
26 new 34 added 50 reduced 10 sold out net bought ≈ $13.0m (+328.4k 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 ($3.5m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $39.72. Options: 5 managers hold calls ($718.1k notional), 5 hold puts ($777.5k).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 126Q4 22: 126Q1 23: 139139Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022126
Q4 2022126
Q1 2023139

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 63 bought or addedQ4 22: 51 cut or sold outQ4 22Q1 23: 60 bought or addedQ1 23: 60 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226351
Q1 20236060

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$500k$1m$1.5m$2mQ3 22 calls: $726.0kQ3 22 puts: $1.7mQ3 22P/C 2.36Q4 22 calls: $904.9kQ4 22 puts: $687.8kQ4 22P/C 0.76Q1 23 calls: $718.1kQ1 23 puts: $777.5kQ1 23P/C 1.08
Numbers
QuarterCallsPutsP/C
Q3 2022$726.0k$1.7m2.36
Q4 2022$904.9k$687.8k0.76
Q1 2023$718.1k$777.5k1.08

Biggest buyers

Rubric Capital Management LP Added +271,909+271.9k
Brandywine Global Investment Management, LLC Added +132,038+132.0k
LOOMIS SAYLES & CO L P New +104,012+104.0k
Phocas Financial Corp. New +75,704+75.7k
GREAT LAKES ADVISORS, LLC New +52,095+52.1k
JACOBS LEVY EQUITY MANAGEMENT, INC New +35,108+35.1k
VANGUARD GROUP INC Added +21,586+21.6k
Federation des caisses Desjardins du Quebec New +17,950+17.9k
Jump Financial, LLC New +13,500+13.5k
Global Alpha Capital Management Ltd. Added +13,430+13.4k

Biggest sellers

FIRST WILSHIRE SECURITIES MANAGEMENT INC Reduced -155,119-155.1k
KENNEDY CAPITAL MANAGEMENT LLC Reduced -77,873-77.9k
EMERALD ADVISERS, LLC Reduced -69,830-69.8k
BlackRock Inc. Reduced -41,907-41.9k
Parkman Healthcare Partners LLC Reduced -26,874-26.9k
EMERALD MUTUAL FUND ADVISERS TRUST Reduced -25,414-25.4k
Regal Partners Ltd Sold out -25,000-25.0k
THOMPSON SIEGEL & WALMSLEY LLC Reduced -21,491-21.5k
JANE STREET GROUP, LLC Reduced -14,627-14.6k
PANAGORA ASSET MANAGEMENT INC Reduced -11,913-11.9k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $349.5k8.8k shares
CITADEL ADVISORS LLC Added $333.6k8.4k shares
SIMPLEX TRADING, LLC Reduced $19.0k500 shares
GROUP ONE TRADING LLC New $15.9k400 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $464.7k11.7k shares
CITADEL ADVISORS LLC Added $230.4k5.8k shares
GROUP ONE TRADING LLC New $79.4k2.0k shares
SIMPLEX TRADING, LLC Reduced $3.0k100 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 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.

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
BlackRock, Inc. 13G · institution +1.5 pts · filed 2026-07-27 12.8% +1.5 pts 2.9m≈ $240.0m 2026-07-27

Fell to 5% or below in the last year: VANGUARD GROUP INC (0.0%, 2026-03-26)

Insider purchases and sales in Q1 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
404Q2 21: 0 buyingQ2 21: 0 sellingQ3 21: 0 buyingQ3 21: 0 sellingQ3 21Q4 21: 3 buyingQ4 21: 0 sellingQ1 22: 4 buyingQ1 22: 0 sellingQ1 22Q2 22: 0 buyingQ2 22: 0 sellingQ3 22: 0 buyingQ3 22: 1 sellingQ3 22Q4 22: 0 buyingQ4 22: 1 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q2 20210—0——
Q3 20210—0——
Q4 20213$275.0k0——
Q1 20224$890.4k0——
Q2 20220—0——
Q3 20220—1$673.0k—
Q4 20220—1$7.7m—
Q1 20230—0——

None reported in Q1 2023.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 BlackRock Inc. 0.00% of their portfolio New York, NY 1,941,6981.9m $77.1m $77.1m 0.00% Reduced -41.9k -41,907
2 VANGUARD GROUP INC 0.00% of their portfolio Valley Forge, PA 834,210834.2k $33.1m $33.1m 0.00% Added +21.6k +21,586
3 Rubric Capital Management LP 1.03% of their portfolio NEW YORK, NY 648,041648.0k $25.7m $25.7m 1.03% Added +271.9k +271,909
4 DIMENSIONAL FUND ADVISORS LP 0.01% of their portfolio AUSTIN, TX 531,192531.2k $21.1m $21.1m 0.01% Added +4.1k +4,116
5 WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC 0.07% of their portfolio CHICAGO, IL 529,130529.1k $21.0m $21.0m 0.07% Added +1.7k +1,665
6 Global Alpha Capital Management Ltd. 1.67% of their portfolio MONTREAL, A8 462,961463.0k $18.4m $18.4m 1.67% Added +13.4k +13,430
7 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 460,172460.2k $18.3m $18.3m 0.00% Added +12.2k +12,185
8 THOMPSON SIEGEL & WALMSLEY LLC 0.25% of their portfolio RICHMOND, VA 393,789393.8k $15.6m $15.6m 0.25% Reduced -21.5k -21,491
9 EMERALD ADVISERS, LLC 0.71% of their portfolio LEOLA, PA 373,406373.4k $14.8m $14.8m 0.71% Reduced -69.8k -69,830
10 AIGH Capital Management LLC 5.10% of their portfolio BALTIMORE, MD 348,106348.1k $13.8m $13.8m 5.10% Reduced -10.0k -10,000
11 EMERALD MUTUAL FUND ADVISERS TRUST 0.72% of their portfolio LEOLA, PA 306,277306.3k $12.2m $12.2m 0.72% Reduced -25.4k -25,414
12 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 301,565301.6k $12.0m $12.0m 0.00% Reduced -30 -30
13 KENNEDY CAPITAL MANAGEMENT LLC 0.33% of their portfolio ST LOUIS, MO 282,621282.6k $11.2m $11.2m 0.33% Reduced -77.9k -77,873
14 Brandywine Global Investment Management, LLC 0.04% of their portfolio PHILADELPHIA, PA 259,706259.7k $10.3m $10.3m 0.04% Added +132.0k +132,038
15 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 245,105245.1k $9.7m $9.7m 0.00% Added +5.8k +5,756
16 FIRST WILSHIRE SECURITIES MANAGEMENT INC 2.80% of their portfolio PASADENA, CA 206,328206.3k $8.2m $8.2m 2.80% Reduced -155.1k -155,119
17 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 139,842139.8k $5.6m $5.6m 0.00% Reduced -1.7k -1,672
18 Ranger Investment Management, L.P. 0.33% of their portfolio DALLAS, TX 125,556125.6k $5.0m $5.0m 0.33% Added +4.4k +4,370
19 WEDGE CAPITAL MANAGEMENT L L P/NC 0.08% of their portfolio CHARLOTTE, NC 118,945118.9k $4.7m $4.7m 0.08% Reduced -5.3k -5,325
20 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 109,489109.5k $4.3m $4.3m 0.00% Reduced -4.6k -4,608
21 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 104,141104.1k $4.1m $4.1m 0.00% Added +2.9k +2,929
22 LOOMIS SAYLES & CO L P 0.01% of their portfolio BOSTON, MA 104,012104.0k $4.1m $4.1m 0.01% New
23 Parkman Healthcare Partners LLC 0.86% of their portfolio STAMFORD, CT 100,000100.0k $4.0m $4.0m 0.86% Reduced -26.9k -26,874
24 Worth Venture Partners, LLC 1.67% of their portfolio FORT LEE, NJ 85,55885.6k $3.4m $3.4m 1.67% Reduced -2.5k -2,459
25 MARATHON CAPITAL MANAGEMENT 0.83% of their portfolio Hunt Valley, MD 84,89084.9k $3.4m $3.4m 0.83% Added +12.0k +12,000
26 PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio DES MOINES, IA 76,63176.6k $3.0m $3.0m 0.00% Reduced -963 -963
27 Phocas Financial Corp. 0.43% of their portfolio ALAMEDA, CA 75,70475.7k $3.0m $3.0m 0.43% New
28 Russell Investments Group, Ltd. 0.01% of their portfolio Seattle, WA 75,08575.1k $3.0m $3.0m 0.01% Reduced -9.6k -9,574
29 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 67,14967.1k $2.7m $2.7m 0.00% Reduced -5.2k -5,237
30 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 66,09266.1k $2.6m $2.6m 0.00% Reduced -6.4k -6,385
31 GREAT LAKES ADVISORS, LLC 0.02% of their portfolio CHICAGO, IL 52,09552.1k $2.1m $2.1m 0.02% New
32 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 43,53943.5k $1.7m $1.7m 0.00% Added +4.4k +4,427
33 Nuveen Asset Management, LLC 0.00% of their portfolio CHICAGO, IL 40,94040.9k $1.6m $1.6m 0.00% Reduced -4.0k -3,977
34 JACOBS LEVY EQUITY MANAGEMENT, INC 0.01% of their portfolio FLORHAM PARK, NJ 35,10835.1k $1.4m $1.4m 0.01% New
35 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 35,03935.0k $1.4m $1.4m 0.00% Added +384 +384
36 RHUMBLINE ADVISERS 0.00% of their portfolio BOSTON, MA 33,98534.0k $1.4m $1.4m 0.00% Added +2.4k +2,382
37 Schonfeld Strategic Advisors LLC 0.01% of their portfolio NEW YORK, NY 29,75029.8k $1.2m $1.2m 0.01% Reduced -10.1k -10,096
38 Legal & General Group Plc 0.00% of their portfolio London, X0 29,32229.3k $1.2m $1.2m 0.00% Reduced -426 -426
39 Swiss National Bank 0.00% of their portfolio ZURICH, V8 28,20028.2k $1.1m $1.1m 0.00% Reduced -3.3k -3,300
40 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 25,23325.2k $1.0m $1.0m 0.00% Reduced -3 -3
41 Defender Capital, LLC. 0.33% of their portfolio CHARLOTTE, NC 24,00024.0k $953.3k $953.3k 0.33% Unchanged
42 NEW YORK STATE TEACHERS RETIREMENT SYSTEM 0.00% of their portfolio ALBANY, NY 21,98022.0k $873.0k $873.0k 0.00% Unchanged
43 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 21,75221.8k $864.0k $864.0k 0.00% Unchanged
44 Public Sector Pension Investment Board 0.01% of their portfolio MONTREAL, A8 21,48821.5k $853.5k $853.5k 0.01% Reduced -628 -628
45 1492 Capital Management LLC 0.45% of their portfolio MILWAUKEE, WI 18,17818.2k $722.0k $722.0k 0.45% Unchanged
46 Federation des caisses Desjardins du Quebec 0.01% of their portfolio LEVIS, A8 17,95017.9k $713.0k $713.0k 0.01% New
47 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 17,43717.4k $692.6k $692.6k 0.00% Added +5 +5
48 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 16,80716.8k $668.0k $668.0k 0.00% Reduced -9.8k -9,827
49 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 0.00% of their portfolio WEST SACRAMENTO, CA 16,23916.2k $645.0k $645.0k 0.00% Reduced -202 -202
50 MARTINGALE ASSET MANAGEMENT L P 0.01% of their portfolio BOSTON, MA 16,22116.2k $644.3k $644.3k 0.01% Unchanged
51 SEI INVESTMENTS CO 0.00% of their portfolio OAKS, PA 15,95716.0k $633.8k $633.8k 0.00% Added +4.1k +4,099
52 NEW YORK STATE COMMON RETIREMENT FUND 0.00% of their portfolio ALBANY, NY 15,82715.8k $628.6k $628.6k 0.00% Added +6.4k +6,381
53 Mitsubishi UFJ Asset Management (UK) Ltd. 0.39% of their portfolio LONDON, X0 15,00015.0k $596.0k $596.0k 0.39% Reduced -8.0k -8,000
54 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 13,62813.6k $541.0k $541.0k 0.00% Unchanged
55 Jump Financial, LLC 0.02% of their portfolio Chicago, IL 13,50013.5k $536.2k $536.2k 0.02% New
56 PANAGORA ASSET MANAGEMENT INC 0.00% of their portfolio BOSTON, MA 13,11513.1k $520.9k $520.9k 0.00% Reduced -11.9k -11,913
57 ALLIANCEBERNSTEIN L.P. 0.00% of their portfolio NASHVILLE, TN 12,95012.9k $514.4k $514.4k 0.00% Reduced -1.8k -1,803
58 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio HARRISBURG, PA 12,93712.9k $513.9k $513.9k 0.00% Reduced -139 -139
59 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 12,81312.8k $508.9k $508.9k 0.00% New
60 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 12,10812.1k $481.0k $481.0k 0.00% Reduced -424 -424
61 Ensign Peak Advisors, Inc 0.00% of their portfolio SALT LAKE CITY, UT 12,03312.0k $478.0k $478.0k 0.00% Added +500 +500
62 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 11,89311.9k $472.4k $472.4k 0.00% Reduced -410 -410
63 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 11,82011.8k $469.5k $469.5k 0.00% Reduced -14.6k -14,627
64 UBS Group AG 0.00% of their portfolio ZURICH, V8 11,69711.7k $464.6k $464.6k 0.00% Added +4.9k +4,880
65 MARSHALL WACE, LLP 0.00% of their portfolio LONDON, X0 11,19911.2k $444.8k $444.8k 0.00% New
66 CORNERCAP INVESTMENT COUNSEL INC 0.08% of their portfolio Atlanta, GA 11,18111.2k $444.1k $444.1k 0.08% New
67 CANADA LIFE ASSURANCE Co 0.00% of their portfolio WINNIPEG, A2 11,01611.0k $437.0k $437.0k 0.00% Reduced -1.6k -1,646
68 TEXAS PERMANENT SCHOOL FUND CORP 0.00% of their portfolio AUSTIN, TX 10,95711.0k $435.2k $435.2k 0.00% Added +2.7k +2,743
69 STATE OF WISCONSIN INVESTMENT BOARD 0.00% of their portfolio MADISON, WI 10,92110.9k $433.8k $433.8k 0.00% Reduced -1.2k -1,209
70 Cullen Capital Management, LLC 0.00% of their portfolio New York, NY 10,20510.2k $405.3k $405.3k 0.00% New
71 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio NEW YORK, NY 10,15310.2k $403.3k $403.3k 0.00% Added +5.1k +5,061
72 PEAPACK GLADSTONE FINANCIAL CORP 0.01% of their portfolio BEDMINSTER, NJ 10,00010.0k $397.0k $397.0k 0.01% Unchanged
73 DekaBank Deutsche Girozentrale 0.00% of their portfolio FRANKFURT, 2M 10,00010.0k $389.0k $389.0k 0.00% Unchanged
74 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 9,2459.2k $367.0k $367.0k 0.00% New
75 JUPITER ASSET MANAGEMENT LTD 0.00% of their portfolio London, X0 8,5368.5k $338.6k $338.6k 0.00% Reduced -1.8k -1,768
76 PERKINS CAPITAL MANAGEMENT INC 0.32% of their portfolio WAYZATA, MN 8,5268.5k $339.0k $339.0k 0.32% Unchanged
77 State of Alaska, Department of Revenue 0.00% of their portfolio JUNEAU, AK 8,3668.4k $332.0k $332.0k 0.00% Reduced -141 -141
78 Trexquant Investment LP 0.01% of their portfolio STAMFORD, CT 8,2068.2k $325.9k $325.9k 0.01% New
79 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 8,0348.0k $319.1k $319.1k 0.00% Added +2.2k +2,183
80 DEUTSCHE BANK AG\ 0.00% of their portfolio FRANKFURT AM MAIN, 2M 7,9107.9k $314.2k $314.2k 0.00% Added +2.3k +2,273
81 Tejara Capital Ltd 0.15% of their portfolio London, X0 7,6007.6k $301.9k $301.9k 0.15% Unchanged
82 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 7,1417.1k $283.6k $283.6k 0.00% Added +595 +595
83 Cubist Systematic Strategies, LLC 0.00% of their portfolio STAMFORD, CT 6,9356.9k $275.5k $275.5k 0.00% New
84 YOUSIF CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BLOOMFIELD HILLS, MI 6,9286.9k $275.2k $275.2k 0.00% Reduced -910 -910
85 AMERICAN INTERNATIONAL GROUP, INC. 0.00% of their portfolio New York, NY 6,9256.9k $275.1k $275.1k 0.00% Added +35 +35
86 Mesirow Financial Investment Management, Inc. 1.13% of their portfolio CHICAGO, IL 6,8926.9k $273.8k $273.8k 1.13% Unchanged
87 SG Americas Securities, LLC 0.00% of their portfolio NEW YORK, NY 6,8456.8k $272.0k $272.0k 0.00% Added +2.8k +2,840
88 MetLife Investment Management, LLC 0.00% of their portfolio Whippany, NJ 6,7266.7k $267.2k $267.2k 0.00% Added +288 +288
89 BTC Capital Management, Inc. 0.03% of their portfolio DES MOINES, IA 6,6446.6k $262.7k $262.7k 0.03% Reduced -1.6k -1,573
90 PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 0.00% of their portfolio COLUMBUS, OH 6,4816.5k $257.0k $257.0k 0.00% New
91 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 6,2956.3k $250.0k $250.0k 0.00% Reduced -1.7k -1,676
92 Sowell Financial Services LLC 0.02% of their portfolio NORTH LITTLE ROCK, AR 5,9265.9k $235.0k $235.0k 0.02% New
93 High Note Wealth, LLC 0.09% of their portfolio DEEPHAVEN, MN 5,8025.8k $230.5k $230.5k 0.09% Unchanged
94 XTX Topco Ltd 0.05% of their portfolio LONDON, X0 5,7635.8k $228.9k $228.9k 0.05% New
95 Louisiana State Employees Retirement System 0.01% of their portfolio BATON ROUGE, LA 5,7005.7k $226.4k $226.4k 0.01% Reduced -100 -100
96 JANUS HENDERSON GROUP PLC 0.00% of their portfolio LONDON, X0 5,2625.3k $209.0k $209.0k 0.00% New
97 AMALGAMATED BANK 0.00% of their portfolio NEW YORK, NY 5,1635.2k $205.0k $205.0k 0.00% Reduced -155 -155
98 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 5,1005.1k $202.6k $202.6k 0.00% Reduced -1.6k -1,600
99 MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.00% of their portfolio Toronto, A6 5,0715.1k $201.4k $201.4k 0.00% Unchanged
100 State of Tennessee, Department of Treasury 0.00% of their portfolio NASHVILLE, TN 4,1524.2k $164.9k $164.9k 0.00% Reduced -912 -912