Vault-13

EFFECTOR THERAPEUTICS INC

COM · CUSIP 28202V108

25 institutional holders -5 vs Q3 2023
11,705,15011.7m shares reported held*
$5.4mreported value*
5 new 7 added 3 reduced 9 sold out net sold ≈ $5.0m (-10.7m 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 ≈ $0.47. Options: 4 managers hold calls ($5.5m notional), 2 hold puts ($46.7k).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 28Q4 22: 31Q1 23: 27Q2 23: 34Q3 23: 30Q4 23: 2525Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202228
Q4 202231
Q1 202327
Q2 202334
Q3 202330
Q4 202325

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q4 22: 10 bought or addedQ4 22: 4 cut or sold outQ4 22Q1 23: 9 bought or addedQ1 23: 12 cut or sold outQ1 23Q2 23: 13 bought or addedQ2 23: 6 cut or sold outQ2 23Q3 23: 14 bought or addedQ3 23: 12 cut or sold outQ3 23Q4 23: 12 bought or addedQ4 23: 12 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022104
Q1 2023912
Q2 2023136
Q3 20231412
Q4 20231212

Calls vs puts

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

CallsPuts
$0$2m$4m$6mQ1 23 calls: $35.3kQ1 23 puts: $0Q1 23P/C 0.00Q2 23 calls: $393.0kQ2 23 puts: $21.3kQ2 23P/C 0.05Q3 23 calls: $60.0kQ3 23 puts: $0Q3 23P/C 0.00Q4 23 calls: $5.5mQ4 23 puts: $46.7kQ4 23P/C 0.01
Numbers
QuarterCallsPutsP/C
Q1 2023$35.3k$00.00
Q2 2023$393.0k$21.3k0.05
Q3 2023$60.0k$00.00
Q4 2023$5.5m$46.7k0.01

Biggest buyers

VANGUARD GROUP INC Added +170,387+170.4k
GEODE CAPITAL MANAGEMENT, LLC Added +144,216+144.2k
NORTHERN TRUST CORP Added +123,998+124.0k
TWO SIGMA SECURITIES, LLC New +61,694+61.7k
MORGAN STANLEY Added +16,080+16.1k
Vontobel Holding Ltd. New +15,000+15.0k
STATE STREET CORP Added +10,800+10.8k
SIMPLEX TRADING, LLC New +1,735+1.7k
JPMORGAN CHASE & CO Added +106+106
Qube Research & Technologies Ltd New +81+81

Biggest sellers

SR One Capital Management, LP Sold out -6,822,114-6.8m
Column Group LLC Sold out -4,026,224-4.0m
Sea Otter Advisors LLC Sold out -263,942-263.9k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -49,392-49.4k
EP Wealth Advisors, LLC Sold out -31,000-31.0k
RENAISSANCE TECHNOLOGIES LLC Sold out -28,267-28.3k
MGO ONE SEVEN LLC Sold out -20,070-20.1k
MILLENNIUM MANAGEMENT LLC Sold out -13,960-14.0k
Tower Research Capital LLC (TRC) Reduced -11,166-11.2k
UBS Group AG Reduced -782-782

Biggest calls

Alyeska Investment Group, L.P. New $4.3m364.9k shares
Oasis Management Co Ltd. Unchanged $1.2m100.0k shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP New $22.8k48.6k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

SABBY MANAGEMENT, LLC New $46.7k100.0k 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.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Carlyle Group Inc. 0.11% of their portfolio WASHINGTON, DC 4,822,1144.8m $2.2m $2.2m 0.11% Unchanged
2 SECTORAL ASSET MANAGEMENT INC 0.48% of their portfolio MONTREAL, A8 2,382,6442.4m $1.1m $1.1m 0.48% Unchanged
3 Parallel Advisors, LLC 0.02% of their portfolio SAN FRANCISCO, CA 1,693,5591.7m $791.6k $791.6k 0.02% Unchanged
4 Blackstone Inc. 0.00% of their portfolio NEW YORK, NY 1,308,5871.3m $611.6k $611.6k 0.00% Unchanged
5 VANGUARD GROUP INC 0.00% of their portfolio Valley Forge, PA 574,413574.4k $268.5k $268.5k 0.00% Added +170.4k +170,387
6 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 407,974408.0k $190.7k $190.7k 0.00% Added +144.2k +144,216
7 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 160,812160.8k $75.2k $75.2k 0.00% Added +124.0k +123,998
8 Sonora Investment Management Group, LLC 0.00% of their portfolio TUCSON, AZ 125,000125.0k $58.4k $58.4k 0.00% Unchanged
9 TWO SIGMA SECURITIES, LLC 0.00% of their portfolio NEW YORK, NY 61,69461.7k $28.8k $28.8k 0.00% New
10 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 36,00036.0k $16.8k $16.8k 0.00% Added +16.1k +16,080
11 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 30,88530.9k $14.4k $14.4k 0.00% Added +10.8k +10,800
12 Wescott Financial Advisory Group, LLC 0.00% of their portfolio Philadelphia, PA 30,55630.6k $14.3k $14.3k 0.00% Unchanged
13 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 22,66022.7k $10.6k $10.6k 0.00% Unchanged
14 Callan Capital, LLC 0.00% of their portfolio LA JOLLA, CA 20,00020.0k $9.3k $9.3k 0.00% Unchanged
15 Vontobel Holding Ltd. 0.00% of their portfolio ZURICH, V8 15,00015.0k $7.0k $7.0k 0.00% New
16 UBS Group AG 0.00% of their portfolio ZURICH, V8 9,0929.1k $4.2k $4.2k 0.00% Reduced -782 -782
17 SIMPLEX TRADING, LLC 0.00% of their portfolio CHICAGO, IL 1,7351.7k $0 $0 0.00% New
18 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 1,1681.2k $545 $545 0.00% Reduced -11.2k -11,166
19 BlackRock Inc. 0.00% of their portfolio New York, NY 554554 $259 $259 0.00% Unchanged
20 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 314314 $147 $147 0.00% Added +17 +17
21 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 145145 $0 $0 0.00% Reduced -261 -261
22 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 136136 $64 $64 0.00% Added +106 +106
23 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 8181 $38 $38 0.00% New
24 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2727 $13 $13 0.00% New
25 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged