NEUBASE THERAPEUTICS INC
COM · CUSIP 64132K102
36
institutional holders
-9 vs Q3 2022
10.1m
shares reported held*
$1.9mreported value*
4 new
5 added
9 reduced
13 sold out
net sold ≈ $355.1k (-1.9m 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 ≈ $0.19. Options: 1 managers hold calls ($0 notional), 2 hold puts ($0).
Trends to Q4 2022
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 45 |
| Q4 2022 | 36 |
Biggest buyers
| Ergoteles LLC | New | +37.9k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | New | +37.9k |
| HRT FINANCIAL LP | New | +15.6k |
| Tower Research Capital LLC (TRC) | Added | +4.9k |
| WELLS FARGO & COMPANY/MN | Added | +4.0k |
| BlackRock Inc. | Added | +1.2k |
| PERKINS CAPITAL MANAGEMENT INC | Added | +1.0k |
| MORGAN STANLEY | Added | +37 |
| Ritter Daniher Financial Advisory LLC / DE | New | +2 |
Biggest sellers
| AIGH Capital Management LLC | Sold out | -872.0k |
| Sio Capital Management, LLC | Sold out | -259.4k |
| Worth Venture Partners, LLC | Sold out | -212.0k |
| JACOB ASSET MANAGEMENT OF NEW YORK LLC | Reduced | -157.4k |
| VANGUARD GROUP INC | Reduced | -113.4k |
| CM Management, LLC | Reduced | -100.0k |
| GOLDMAN SACHS GROUP INC | Sold out | -82.2k |
| TOCQUEVILLE ASSET MANAGEMENT L.P. | Sold out | -42.5k |
| CITADEL ADVISORS LLC | Sold out | -22.8k |
| MILLENNIUM MANAGEMENT LLC | Sold out | -22.3k |
Biggest calls
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Biggest puts
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
| SIMPLEX TRADING, LLC | New | $0500 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 2022
| Manager | Shares | Change |
|---|---|---|
| GREENLIGHT CAPITAL INC 0.04% of their portfolio | 2.7m $518.7k | Unchanged |
| Point72 Asset Management, L.P. 0.00% of their portfolio | 1.2m $237.8k | Unchanged |
| Decheng Capital Management III (Cayman), LLC 0.07% of their portfolio | 1.0m $190.2k | Unchanged |
| VANGUARD GROUP INC 0.00% of their portfolio | 945.7k $179.9k | Reduced -113.4k |
| Carnegie Mellon University 0.10% of their portfolio | 939.4k $178.7k | Unchanged |
| Polar Asset Management Partners Inc. 0.00% of their portfolio | 634.6k $120.7k | Unchanged |
| Kestra Advisory Services, LLC 0.00% of their portfolio | 509.7k $96.9k | Unchanged |
| CM Management, LLC 0.08% of their portfolio | 350.0k $67.0k | Reduced -100.0k |
| JACOB ASSET MANAGEMENT OF NEW YORK LLC 0.07% of their portfolio | 313.1k $59.6k | Reduced -157.4k |
| PRELUDE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 311.0k $59.2k | Unchanged |
| RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio | 285.2k $54.0k | Reduced -2.2k |
| GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 234.0k $44.0k | Reduced -598 |
| PERKINS CAPITAL MANAGEMENT INC 0.02% of their portfolio | 99.0k $19.0k | Added +1.0k |
| Waldron Private Wealth LLC 0.00% of their portfolio | 79.6k $31.0k | Unchanged |
| BlackRock Inc. 0.00% of their portfolio | 74.4k $14.1k | Added +1.2k |
| STATE STREET CORP 0.00% of their portfolio | 68.7k $13.1k | Unchanged |
| NORTHERN TRUST CORP 0.00% of their portfolio | 54.9k $10.4k | Unchanged |
| DAVENPORT & Co LLC 0.00% of their portfolio | 40.5k $7.7k | Unchanged |
| Ergoteles LLC 0.00% of their portfolio | 37.9k $7.2k | New |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 37.9k $7.2k | New |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio | 29.7k $5.7k | Unchanged |
| Tower Research Capital LLC (TRC) 0.00% of their portfolio | 17.8k $3.0k | Added +4.9k |
| TWO SIGMA SECURITIES, LLC 0.00% of their portfolio | 17.7k $3.4k | Reduced -14.3k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 16.1k $3.1k | Reduced -36 |
| HRT FINANCIAL LP 0.00% of their portfolio | 15.6k $2.0k | New |
| Mariner, LLC 0.00% of their portfolio | 15.5k $3.0k | Unchanged |
| FIRST MANHATTAN CO. LLC. 0.00% of their portfolio | 14.1k $2.7k | Unchanged |
| WEALTHSOURCE PARTNERS, LLC 0.00% of their portfolio | 14.0k $2.7k | Reduced -350 |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 5.2k $995 | Added +4.0k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 450 $0 | Unchanged |
| PNC Financial Services Group, Inc. 0.00% of their portfolio | 427 $81 | Unchanged |
| NFSG Corp 0.00% of their portfolio | 250 $48 | Unchanged |
| MORGAN STANLEY 0.00% of their portfolio | 187 $36 | Added +37 |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 30 $0 | Reduced -546 |
| Ritter Daniher Financial Advisory LLC / DE 0.00% of their portfolio | 2 $0 | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |