Vault-13

CASI PHARMACEUTICALS INC CASIF

ORD SHS · Common Stock · CUSIP G1933S101

25 institutional holders +1 vs Q1 2025
2,255,3942.3m shares reported held*
$2.7mreported value*
3 new 4 added 8 reduced 2 sold out net sold ≈ $577.0k (-489.0k 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 ≈ $1.18. Options: 1 managers hold calls ($0 notional), 2 hold puts ($0).

Trends to Q2 2025

Institutional holders

Managers reporting a position, each quarter

0102030Q4 22: 1Q1 23: 21Q2 23: 20Q3 23: 20Q4 23: 19Q1 24: 21Q2 24: 24Q3 24: 21Q4 24: 23Q1 25: 24Q2 25: 2525Q4 22Q2 23Q4 23Q2 24Q4 24Q2 25
Numbers
QuarterHolders
Q4 20221
Q1 202321
Q2 202320
Q3 202320
Q4 202319
Q1 202421
Q2 202424
Q3 202421
Q4 202423
Q1 202524
Q2 202525

Buyers vs sellers

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

Bought or addedCut or sold out
10010Q3 23: 5 bought or addedQ3 23: 9 cut or sold outQ4 23: 6 bought or addedQ4 23: 9 cut or sold outQ4 23Q1 24: 10 bought or addedQ1 24: 5 cut or sold outQ2 24: 9 bought or addedQ2 24: 9 cut or sold outQ2 24Q3 24: 6 bought or addedQ3 24: 7 cut or sold outQ4 24: 4 bought or addedQ4 24: 9 cut or sold outQ4 24Q1 25: 8 bought or addedQ1 25: 4 cut or sold outQ2 25: 7 bought or addedQ2 25: 10 cut or sold outQ2 25
Numbers
QuarterBought or addedCut or sold out
Q3 202359
Q4 202369
Q1 2024105
Q2 202499
Q3 202467
Q4 202449
Q1 202584
Q2 2025710

Calls vs puts

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

CallsPuts
$0$2.5k$5k$7.5k$10kQ3 24 calls: $2.4kQ3 24 puts: $8.3kQ3 24P/C 3.50Q4 24 calls: $0Q4 24 puts: $0Q4 24P/C —Q1 25 calls: $0Q1 25 puts: $0Q1 25P/C —Q2 25 calls: $0Q2 25 puts: $0Q2 25P/C —
Numbers
QuarterCallsPutsP/C
Q3 2024$2.4k$8.3k3.50
Q4 2024$0$0—
Q1 2025$0$0—
Q2 2025$0$0—

Biggest buyers

CITADEL ADVISORS LLC New +36,246+36.2k
BANK OF AMERICA CORP /DE/ Added +11,995+12.0k
TWO SIGMA SECURITIES, LLC New +11,599+11.6k
ROYAL BANK OF CANADA Added +10,200+10.2k
Woodline Partners LP Added +1,275+1.3k
RENAISSANCE TECHNOLOGIES LLC Added +300+300
CITIGROUP INC New +19+19

Biggest sellers

Foresite Capital Management VI LLC Reduced -542,262-542.3k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -10,992-11.0k
ADAR1 Capital Management, LLC Reduced -3,300-3.3k
UBS Group AG Reduced -2,135-2.1k
MORGAN STANLEY Reduced -1,125-1.1k
GEODE CAPITAL MANAGEMENT, LLC Reduced -555-555
WEST PACES ADVISORS INC. Sold out -100-100
SIMPLEX TRADING, LLC Reduced -88-88
Wellington Shields Capital Management, LLC Reduced -49-49
AdvisorNet Financial, Inc Sold out -26-26

Biggest calls

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
SIMPLEX TRADING, LLC Added $0300 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
He Wei-Wu 13D · may seek influence +5.8 pts · filed 2026-05-18
Stated purposeOn April 17, 2026, ETP Global III Fund L.P. purchased a convertible note with the principal amount of US$5 million as the fourth tranche of the Issuer's US$20 million convertible note financing pursuant to certain convertible note purchase agreement (the "Purchase Agreement") between ETP Global III Fund L.P. and the Issuer dated December 11, 2025. A convertible note with a principal amount of US$5 million has been issued to the Purchaser on the same date (the "Convertible Note"). The Purchaser has the right to convert such note into the Company's ordinary shares, par value US$0.0001 per share (the "Ordinary Shares") at any time from and including the 91st day after the issuance thereof to and including the maturity date at a conversion price of the volume weighted average closing price of … Full filing
58.8% +5.8 pts 24.0m 2026-05-18
Panacea Innovation Ltd 13D · may seek influence +2.6 pts · filed 2025-12-17 22.5% +2.6 pts 4.7m 2025-12-17
Huang James 13G · passive investor filed 2025-07-23 13.8% 2.2m 2025-07-23
Chen Zhenfeng M 13G · passive new · filed 2025-11-26 11.0% new 2.3m 2025-11-26
Venrock Healthcare Capital Partners III, L.P. 13G · passive investor filed 2026-02-17 9.2% 2.0m 2026-02-17
SPARKLE BYTE LTD 13D · may seek influence filed 2026-01-20 5.0% 1.0m 2026-01-20

Fell to 5% or below in the last year: Foresite Capital Fund VI LP (0.0%, 2026-02-13), Ho Chi Sing (4.8%, 2026-01-20)

Insider purchases and sales in Q2 2025

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.

None reported in Q2 2025.

Holders, Q2 2025

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Venrock Adviser, LLC 0.09% of their portfolio NEW YORK, NY 987,259987.3k $1.2m $1.2m 0.09% Unchanged
2 Foresite Capital Management VI LLC 0.52% of their portfolio WEST HOLLYWOOD, CA 787,121787.1k $928.8k $928.8k 0.52% Reduced -542.3k -542,262
3 Woodline Partners LP 0.00% of their portfolio San Francisco, CA 165,640165.6k $195.5k $195.5k 0.00% Added +1.3k +1,275
4 Wellington Shields Capital Management, LLC 0.02% of their portfolio NEW YORK, NY 90,84590.8k $107.2k $107.2k 0.02% Reduced -49 -49
5 ADAR1 Capital Management, LLC 0.01% of their portfolio AUSTIN, TX 44,12044.1k $52.1k $52.1k 0.01% Reduced -3.3k -3,300
6 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 39,20039.2k $46.3k $46.3k 0.00% Added +300 +300
7 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 36,24636.2k $42.8k $42.8k 0.00% New
8 Wellington Shields & Co., LLC 0.01% of their portfolio NEW YORK, NY 30,09130.1k $35.5k $35.5k 0.01% Unchanged
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 19,90019.9k $22.0k $22.0k 0.00% Added +10.2k +10,200
10 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 18,80818.8k $22.2k $22.2k 0.00% Reduced -555 -555
11 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 12,06112.1k $14.2k $14.2k 0.00% Added +12.0k +11,995
12 TWO SIGMA SECURITIES, LLC 0.00% of their portfolio NEW YORK, NY 11,59911.6k $13.7k $13.7k 0.00% New
13 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 10,15110.2k $12.0k $12.0k 0.00% Reduced -11.0k -10,992
14 UBS Group AG 0.00% of their portfolio ZURICH, V8 954954 $1.1k $1.1k 0.00% Reduced -2.1k -2,135
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 505505 $596 $596 0.00% Unchanged
16 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 365365 $431 $431 0.00% Reduced -1.1k -1,125
17 BlackRock, Inc. 0.00% of their portfolio New York, NY 296296 $349 $349 0.00% Unchanged
18 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 134134 $158 $158 0.00% Unchanged
19 SIMPLEX TRADING, LLC 0.00% of their portfolio CHICAGO, IL 2626 $0 $0 0.00% Reduced -88 -88
20 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 2525 $30 $30 0.00% Unchanged
21 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 1919 $22 $22 0.00% New
22 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 1313 $15 $15 0.00% Unchanged
23 Colonial Trust Co / SC 0.00% of their portfolio SPARTANBURG, SC 1111 $13 $13 0.00% Unchanged
24 MAI Capital Management 0.00% of their portfolio INDEPENDENCE, OH 55 $6 $6 0.00% Unchanged
25 CONCOURSE FINANCIAL GROUP SECURITIES, INC. — of their portfolio BIRMINGHAM, AL 00 $0 $0 — Unchanged