Vault-13

OCULIS HOLDING AG OCSAW

*W EXP 03/06/202 · Equity WRT · CUSIP H5870P110

25 institutional holders -1 vs Q2 2023
821,211821.2k shares reported held*
$1.4mreported value*
0 new 0 added 4 reduced 1 sold out net sold ≈ $261.3k (-155.1k 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 ≈ $1.65. Options: 3 managers hold calls ($474.9k notional), 0 hold puts (—).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0102030Q1 23: 30Q2 23: 26Q3 23: 2525Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q1 202330
Q2 202326
Q3 202325

Buyers vs sellers

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

Bought or addedCut or sold out
10010Q2 23: 5 bought or addedQ2 23: 10 cut or sold outQ2 23Q3 23: 0 bought or addedQ3 23: 5 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q2 2023510
Q3 202305

Calls vs puts

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

CallsPuts
$0$200k$400k$600kQ4 22 calls: $0Q4 22 puts: $0Q4 22P/C —Q1 23 calls: $448.8kQ1 23 puts: $0Q1 23P/C 0.00Q2 23 calls: $391.7kQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $474.9kQ3 23 puts: $0Q3 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q4 2022$0$0—
Q1 2023$448.8k$00.00
Q2 2023$391.7k$00.00
Q3 2023$474.9k$00.00

Biggest buyers

None

Biggest sellers

Sculptor Capital LP Reduced -50,133-50.1k
Periscope Capital Inc. Reduced -50,000-50.0k
CLEAR STREET LLC Reduced -34,691-34.7k
Meteora Capital, LLC Sold out -18,000-18.0k
Arena Capital Advisors, LLC- CA Reduced -2,253-2.3k

Biggest calls

MILLENNIUM MANAGEMENT LLC Reduced $236.6k140.0k shares
ANGELO GORDON & CO., L.P. Unchanged $146.7k13.3k shares
DeepCurrents Investment Group LLC New $91.7k8.3k shares

Biggest puts

None

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.

Insider purchases and sales in Q3 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.

None reported in Q3 2023.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Tyrus Capital S.A.M. 2.14% of their portfolio MONACO, O9 133,332133.3k $225.3k $225.3k 2.14% Unchanged
2 NOMURA HOLDINGS INC 0.00% of their portfolio TOKYO, M0 126,000126.0k $194.8k $194.8k 0.00% Unchanged
3 MMCAP International Inc. SPC 0.04% of their portfolio GRAND CAYMAN, E9 73,52573.5k $124.3k $124.3k 0.04% Unchanged
4 Periscope Capital Inc. 0.01% of their portfolio Toronto, A6 50,00050.0k $82.6k $82.6k 0.01% Reduced -50.0k -50,000
5 MOORE CAPITAL MANAGEMENT, LP 0.00% of their portfolio NEW YORK, NY 41,66641.7k $67.9k $67.9k 0.00% Unchanged
6 D. E. Shaw & Co., Inc. 0.00% of their portfolio New York, NY 37,21637.2k $60.7k $60.7k 0.00% Unchanged
7 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 36,00736.0k $60.9k $60.9k 0.00% Unchanged
8 Calamos Advisors LLC 0.00% of their portfolio NAPERVILLE, IL 33,33333.3k $54.3k $54.3k 0.00% Unchanged
9 TENOR CAPITAL MANAGEMENT Co., L.P. 0.00% of their portfolio NEW YORK, NY 33,33333.3k $56.3k $56.3k 0.00% Unchanged
10 Mint Tower Capital Management B.V. 0.02% of their portfolio AMSTERDAM, P7 33,33333.3k $56.0k $56.0k 0.02% Unchanged
11 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 24,96925.0k $40.0k $40.0k 0.00% Unchanged
12 GABELLI FUNDS LLC 0.00% of their portfolio Rye, NY 24,43424.4k $41.3k $41.3k 0.00% Unchanged
13 GABELLI & Co INVESTMENT ADVISERS, INC. 0.01% of their portfolio Rye, NY 21,89621.9k $37.0k $37.0k 0.01% Unchanged
14 STATE OF WISCONSIN INVESTMENT BOARD 0.00% of their portfolio MADISON, WI 19,56019.6k $33.1k $33.1k 0.00% Unchanged
15 Walleye Trading LLC 0.00% of their portfolio NEW YORK, NY 17,02617.0k $28.8k $28.8k 0.00% Unchanged
16 Arena Capital Advisors, LLC- CA 0.03% of their portfolio LOS ANGELES, CA 16,99817.0k $28.7k $28.7k 0.03% Reduced -2.3k -2,253
17 WHITEBOX ADVISORS LLC 0.00% of their portfolio MINNEAPOLIS, MN 16,83316.8k $28.4k $28.4k 0.00% Unchanged
18 KIM, LLC 0.00% of their portfolio WICHITA, KS 16,66616.7k $27.2k $27.2k 0.00% Unchanged
19 Sculptor Capital LP 0.00% of their portfolio New York, NY 14,31514.3k $21.9k $21.9k 0.00% Reduced -50.1k -50,133
20 Atalaya Capital Management LP 0.02% of their portfolio NEW YORK, NY 13,33313.3k $21.7k $21.7k 0.02% Unchanged
21 OMERS ADMINISTRATION Corp 0.00% of their portfolio TORONTO, A6 11,66611.7k $19.0k $19.0k 0.00% Unchanged
22 Vestcor Inc 0.00% of their portfolio FREDERICTON, A3 11,66611.7k $19.0k $19.0k 0.00% Unchanged
23 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.00% of their portfolio Englewood, NJ 10,15210.2k $17.2k $17.2k 0.00% Unchanged
24 CLEAR STREET LLC 0.00% of their portfolio NEW YORK, NY 3,9524.0k $6.7k $6.7k 0.00% Reduced -34.7k -34,691
25 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged