AQST · Aquestive Therapeutics, Inc. · Holdings

$4.05 +0.22 (+5.74%)

Russell 2000 member Rebalance outlook locked

Market Cap

$512.80M

125.51M

Volume · Oct 20 2.25M Avg daily vol (3M) 2.77M

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of AQST: 13F, 13D and 13G, insiders and funds →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 185

Total Value: $304,382,640

Total Shares: 73,076,582

Showing 1–100 of 192 holdings by value · page 1 of 2

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 186 13F filers

Top Holder

13.3%

of institutional value

Top 5

44.7%

of institutional value

Top 10

59.9%

of institutional value

HHI

543

Broadly held

Who Holds AQST

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 184 filers, like-for-like change +0.2%; actively managed books -3.2%; index-like books +6.7%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	42.1%	103	+0.1%	11	9
Exempt adviser	0.4%	1	+530.5%	0	1
Adviser	9.4%	5	-8.7%	0	0
Bank	12.0%	15	+2.5%	1	0
Insurer	0.0%	1	+9.5%	0	0
Broker-dealer	0.1%	1	+0.3%	0	0
Benefit plan	0.3%	2	-25.7%	0	0
Non-US	1.3%	4	+1.8%	1	0
Holding company	13.3%	6	-3.6%	0	0
Unknown	21.1%	46	+4.6%	8	8

Style	Share	Filers	Change	New	Exited
Index-like	31.7%	22	+6.7%	1	0
Systematic-like	5.1%	17	-42.7%	3	5
Concentrated	9.4%	30	+8.8%	4	4
Diversified active	40.2%	114	+3.0%	13	9
Unknown	13.6%	1	0.0%	0	0
Not measured	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	53.8%	108	+2.6%	7	8
Medium turnover	28.8%	36	+15.4%	4	3
High turnover	8.9%	27	-37.6%	8	7
Unknown	8.6%	13	+3.5%	2	0
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	12.6%	22	-6.1%	7	2
Medium horizon	17.4%	26	+27.2%	3	4
Long horizon	61.3%	124	+0.9%	9	8
Unknown	8.7%	12	-27.5%	2	4
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	22.8%	36	-0.8%	5	7
$1B to $10B	6.1%	51	+5.9%	7	6
$10B to $100B	25.1%	48	-3.5%	9	4
$100B or more	46.0%	49	+2.0%	0	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	3.1%	53	+4.3%	7	5
Pooled investment vehicles	23.7%	23	-7.0%	4	4
Registered funds and BDCs	12.1%	10	+6.3%	0	0
Pension and profit sharing plans	0.0%	2	-2.8%	0	0
Insurance companies	0.1%	3	+36.6%	0	0
Charitable organizations	0.3%	1	0.0%	0	0
Governments and sovereign funds	0.2%	1	+9.2%	0	0
Corporations	0.0%	1	+87.6%	0	0
Other investment advisers	0.0%	2	0.0%	0	0
Diversified	2.4%	7	+62.1%	0	0
Unknown	57.9%	81	+0.2%	10	9

Private funds	Share	Filers	Change	New	Exited
Hedge funds	19.3%	26	-8.7%	5	5
Private equity funds	0.4%	9	-10.7%	1	0
Venture capital funds	5.5%	2	+22.8%	0	0
Real estate funds	0.0%	2	+22.3%	1	1
Securitized asset funds	0.0%	1	0.0%	0	0
Other private funds	3.0%	11	+34.2%	0	0
Mixed private funds	0.2%	2	+3.5%	0	0
Private funds, type not stated	0.5%	3	+7.7%	0	0
No private funds	13.7%	48	+3.6%	4	4
Unknown	57.5%	80	-0.4%	10	8

Location	Share	Filers	Change	New	Exited
United States	95.9%	160	-1.1%	16	17
Outside the US	4.0%	23	+43.8%	5	1
Unknown	0.2%	1	0.0%	0	0

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 2 holders with no observed 2026-03-31 13F and 1 holder with no observed 2026-06-30 13F.

Conviction and Crowding

184 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

1.63% of filers hold it in their top 10

Mar 31, 2026: 2

Holders above 5%

median weight 0.001%

Mar 31, 2026: 1

Crowding

18.7%

of shares outstanding, 55th percentile

Mar 31, 2026: 20.2%

Private-fund advisers

16.5%

of shares outstanding

Institutional ownership

57.4%

58.9% of the estimated free float

Top 10 holders

61.4%

of 13F shares, Herfindahl 0.057

Active holders

-3.2%

like-for-like share change of active filers

5% stakes on record

0 13D, 3 13G (2 institutional, 0 passive, 1 exempt)

How long holders have held it value-weighted 10.8 quarters

Under 1 year 19.2% 1 to 3 years 52.3% 3 years or more 28.5% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$4.31

estimated per share

Mar 31, 2026: $4.33

Quarter-end price

$4.16

implied by 13F values

Estimated gain or loss

-3.5%

price against the estimated cost

Estimated at a loss

64.5%

of costed 13F value

Estimated cost covers 53.2% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Shared Holders

Companies AQST's active holders also own, quarter ended Jun 30, 2026

#	Company	Shared holders	Similarity
1	ARTV Artiva Biotherapeutics, Inc.	5	0.273
2	OBIO Orchestra BioMed Holdings, Inc.	4	0.263
3	EYPT EyePoint, Inc.	5	0.214
4	DCTH Delcath Systems, Inc.	3	0.207
5	MIST Milestone Pharmaceuticals Inc.	4	0.195
6	FENC Fennec Pharmaceuticals Inc.	3	0.189
7	HELP Helus Pharma Inc.	4	0.186
8	UPB Upstream Bio, Inc.	3	0.182
9	NGNE Neurogene Inc.	3	0.182
10	LRMR Larimar Therapeutics, Inc.	3	0.175

Shareholder Targets

13F filers that own its peers but not AQST, quarter ended Jun 30, 2026

Found through its holder-overlap peers: ARTV, OBIO, EYPT, DCTH, MIST, FENC, HELP, UPB, NGNE, LRMR, CMPS, ABEO, SABS, OVID, PROF, SGMT, ALLO, RNA, CLDX, MAZE. 629 filers in all.

#	Filer	In peers	Of book	Largest peers
1	Deep Track Capital, LP Adviser, Diversified active	$392,830,834 3 held	5.98%	CMPS, MAZE, CLDX
2	RA CAPITAL MANAGEMENT, L.P. Registered adviser, Concentrated	$219,583,180 3 held	1.93%	ARTV, OVID, SABS
3	Jupiter Topco LLC Unknown, Diversified active	$212,710,344 5 held	0.090%	MAZE, OVID, EYPT
4	Kynam Capital Management, LP Registered adviser, Concentrated	$198,065,406 1 held	11.0%	CLDX
5	Frazier Life Sciences Management, L.P. Registered adviser, Concentrated	$196,871,252 2 held	4.29%	MAZE, ALLO
6	Logos Global Management LP Registered adviser, Diversified active	$172,676,400 4 held	7.43%	CLDX, MAZE, CMPS
7	ADAGE CAPITAL PARTNERS GP, L.L.C. Registered adviser, Diversified active	$143,816,571 7 held	0.200%	EYPT, SABS, HELP
8	MILLENNIUM MANAGEMENT LLC Registered adviser, Systematic-like	$136,103,461 16 held	0.100%	CLDX, HELP, CMPS
9	TRV GP IV, LLC Unknown, Unknown	$133,502,906 1 held	40.1%	MAZE
10	Commodore Capital LP Registered adviser, Concentrated	$127,206,500 3 held	7.63%	EYPT, CLDX, SABS

Fund Ownership of AQST by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 11.00% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	2.75%	+0.36 pp	3,456,177	55
Index ETFs	8.25%	+0.59 pp	10,353,679	24
Active ETFs	0.43%	-0.10 pp	544,770	4
Active funds	2.36%	+0.72 pp	2,967,593	27
Unclassified	1.50%	+1.49 pp	1,876,729	2
All registered funds	15.30%	+3.07 pp	19,198,948	112

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 103 Exempt adviser 2 Adviser 5 Bank 15 Insurer 1 Broker-dealer 1 Benefit plan 2 Non-US 4 Holding company 6 Unknown 46

Showing 100 of 192

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Bratton Capital Management, L.P.

$40,813,585

13.41%

9,810,958

BlackRock, Inc.

$33,568,587

11.03%

8,069,373

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BLACKROCK FINANCIAL MANAGEMENT INC/DE	43,018	$178,954	0.5%	Sole
BlackRock Asset Management Canada Ltd	925	$3,848	0.0%	Sole
BlackRock Investment Management, LLC	327,427	$1,362,096	4.1%	Sole
BLACKROCK ADVISORS LLC	241,711	$1,005,517	3.0%	Sole
BlackRock Fund Advisors	4,407,786	$18,336,389	54.6%	Sole
BlackRock Institutional Trust Company, N.A.	2,878,928	$11,976,340	35.7%	Sole
BlackRock Asset Management Ireland Ltd	92,852	$386,264	1.2%	Sole
Aperio Group, LLC	76,433	$317,961	0.9%	Sole
SpiderRock Advisors, LLC	293	$1,218	0.0%	Sole

RTW INVESTMENTS, LP

$30,894,119

10.15%

7,426,471

VANGUARD CAPITAL MANAGEMENT LLC

$19,071,657

6.27%

4,584,533

FEDERATED HERMES, INC.

$12,948,253

4.25%

3,112,561

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
FEDERATED EQUITY MANAGEMENT CO OF PENNSYLVANIA	171,653	$714,076	5.5%	Defined
FEDERATED MDTA LLC	2,940,908	$12,234,177	94.5%	Defined

STATE STREET CORP

$12,180,563

4.00%

2,928,020

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STATE STREET GLOBAL ADVISORS EUROPE LIMITED joint	2,928,020	$12,180,563	100.0%	Defined

GEODE CAPITAL MANAGEMENT, LLC

$10,911,213

3.58%

2,622,888

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GEODE CAPITAL MANAGEMENT TRUST COMPANY, LLC	362,571	$1,508,295	13.8%	Defined
Held directly	2,260,317	$9,402,918	86.2%	Defined

SAMSARA BIOCAPITAL, LLC

$10,400,000

3.42%

2,500,000

BANK OF AMERICA CORP /DE/

$6,940,638

2.28%

1,668,423

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	1,630,112	$6,781,265	97.7%	Defined
BOFA SECURITIES, INC.	38,311	$159,373	2.3%	Defined

Sio Capital Management, LLC

$6,182,488

2.03%

1,486,175

Propel Bio Management, LLC

$6,000,371

1.97%

1,442,397

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Simplify Asset Management Inc.	1,442,397	$6,000,371	100.0%	Defined

TWO SIGMA INVESTMENTS, LP

$5,329,904

1.75%

1,281,227

Nuveen, LLC

$5,055,335

1.66%

1,215,225

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Nuveen Asset Management, LLC joint	27,266	$113,426	2.2%	Defined
TIAA CREF INVESTMENT MANAGEMENT LLC joint	191,890	$798,262	15.8%	Defined
TEACHERS ADVISORS, LLC joint	996,069	$4,143,647	82.0%	Defined

Janney Montgomery Scott LLC

$4,601,625

1.51%

1,106,160

WELLS FARGO & COMPANY/MN

$4,530,393

1.49%

1,089,037

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO BANK N A	1,070,687	$4,454,057	98.3%	Defined
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	15,750	$65,520	1.4%	Defined
WELLS FARGO CLEARING SERVICES, LLC	2,600	$10,816	0.2%	Defined

COMMONWEALTH EQUITY SERVICES, LLC

$4,352,088

1.43%

1,046,175

BARCLAYS PLC

$4,146,126

1.36%

996,665

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BARCLAYS BANK PLC	992,433	$4,128,521	99.6%	Defined
BARCLAYS CAPITAL INC.	4,232	$17,605	0.4%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$3,951,168

1.30%

949,800

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	949,800	$3,951,168	100.0%	Other

Blue Owl Capital Holdings LP

$3,922,597

1.29%

942,932

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Blue Owl Healthcare Opportunities Advisors LLC	942,932	$3,922,597	100.0%	Defined

NORTHERN TRUST CORP

$3,457,586

1.14%

831,151

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
NORTHERN TRUST CO joint	814,184	$3,387,004	98.0%	Defined
DWS INVESTMENT MANAGEMENT AMERICAS, INC joint	16,967	$70,582	2.0%	Other

BNP PARIBAS ARBITRAGE, SA

$3,305,902

1.09%

794,688

Balyasny Asset Management L.P.

$3,097,269

1.02%

744,536

VANGUARD PORTFOLIO MANAGEMENT LLC

$3,054,459

1.00%

734,245

WASATCH ADVISORS LP

$3,001,040

0.99%

648,173

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	648,173	$3,001,040	100.0%	Sole

MORGAN STANLEY

$2,739,842

0.90%

658,617

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY & CO INTERNATIONAL PLC	3,249	$13,515	0.5%	Defined
MORGAN STANLEY & CO. LLC	31,173	$129,679	4.7%	Defined
MORGAN STANLEY CAPITAL SERVICES, LLC	150,530	$626,204	22.9%	Defined
MORGAN STANLEY SMITH BARNEY LLC	459,566	$1,911,794	69.8%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	14,099	$58,650	2.1%	Defined

VANGUARD FIDUCIARY TRUST CO

$2,709,037

0.89%

651,211

DAFNA Capital Management LLC

$2,687,006

0.88%

645,915

Everstar Asset Management, LLC

$2,545,682

0.84%

611,943

AWM Investment Company, Inc.

$1,977,664

0.65%

475,400

GOLDMAN SACHS GROUP INC

$1,949,246

0.64%

468,569

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GOLDMAN SACHS & CO. LLC	381,031	$1,585,088	81.3%	Defined
GOLDMAN SACHS ASSET MANAGEMENT, L.P.	87,538	$364,158	18.7%	Defined

Bracebridge Capital, LLC

$1,910,338

0.63%

459,216

UBS Group AG

$1,907,000

0.63%

458,414

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	82,915	$344,926	18.1%	Defined
UBS AG	327,880	$1,363,980	71.5%	Defined
UBS Switzerland AG	15,064	$62,666	3.3%	Defined
UBS Securities LLC	32,555	$135,428	7.1%	Defined

CITADEL ADVISORS LLC

$1,881,138

0.62%

452,197

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	326,310	$1,357,449	72.2%	Defined
Held directly	125,887	$523,689	27.8%	Defined

JANE STREET GROUP, LLC

$1,819,958

0.60%

437,490

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	437,490	$1,819,958	100.0%	Defined

RENAISSANCE TECHNOLOGIES LLC

$1,731,591

0.57%

416,248

STIFEL FINANCIAL CORP

$1,505,516

0.49%

361,903

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STIFEL NICOLAUS & CO INC \MO\	361,802	$1,505,096	100.0%	Defined
Held directly	101	$420	0.0%	Defined

Man Group plc

$1,463,072

0.48%

351,700

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Numeric Investors LLC	351,700	$1,463,072	100.0%	Defined

HRT FINANCIAL LP

$1,434,413

0.47%

344,811

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$1,286,272

0.42%

309,200

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	309,200	$1,286,272	100.0%	Other

CHARLES SCHWAB INVESTMENT MANAGEMENT INC

$1,274,599

0.42%

306,394

WELLINGTON MANAGEMENT GROUP LLP

$1,254,850

0.41%

301,647

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Wellington Management Company LLP	99,473	$413,807	33.0%	Defined
Wellington Trust Company, NA joint	188,808	$785,441	62.6%	Defined
Wellington Management Australia Pty Ltd	13,366	$55,602	4.4%	Defined

MARSHALL WACE, LLP

$1,188,340

0.39%

285,659

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Marshall Wace North America L.P. joint	285,659	$1,188,340	100.0%	Other

Walleye Capital LLC

$1,175,482

0.39%

282,568

Simplify Asset Management Inc.

$1,159,487

0.38%

278,723

Bank of New York Mellon Corp

$1,146,262

0.38%

275,544

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Mellon Investments Corporation	101,568	$422,522	36.9%	Defined
The Bank of New York Mellon	173,975	$723,736	63.1%	Defined
Held directly	1	$4	0.0%	Defined

Russell Investments Group, Ltd.

$1,083,599

0.36%

260,481

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Russell Investment Management, LLC	143,942	$598,798	55.3%	Defined
Russell Investments Capital, LLC	44,249	$184,075	17.0%	Defined
Russell Investments France SAS	28,101	$116,900	10.8%	Defined
Russell Investments Trust Company	44,189	$183,826	17.0%	Defined

Rosalind Advisors, Inc.

$1,040,000

0.34%

250,000

Latash Investments, LLC

$1,011,437

0.33%

243,134

Hudson Bay Capital Management LP

$973,440

0.32%

234,000

Lido Advisors, LLC

$895,714

0.29%

215,316

DIADEMA PARTNERS LP

$892,736

0.29%

214,600

STATE OF WISCONSIN INVESTMENT BOARD

$874,802

0.29%

210,289

AQR CAPITAL MANAGEMENT LLC

$840,071

0.28%

201,941

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Compound Planning, Inc.	31	$128	0.0%	Other
Arax Advisory Partners	2,118	$8,810	1.0%	Other
HALBERT HARGROVE GLOBAL ADVISORS, LLC	155	$644	0.1%	Other
Held directly	199,637	$830,489	98.9%	Defined

CITADEL ADVISORS LLC

$803,712

0.26%

193,200

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	193,200	$803,712	100.0%	Defined

Aquatic Capital Management LLC

$724,380

0.24%

174,130

RHUMBLINE ADVISERS

$620,031

0.20%

149,046

Sugar Maple Asset Management, LLC

$541,987

0.18%

117,060

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$534,580

0.18%

128,505

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	113,828	$473,524	88.6%	Other
G1 EXECUTION SERVICES, LLC	14,677	$61,056	11.4%	Other

Creative Planning

$531,755

0.17%

127,826

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CREATIVE PLANNING TRUST Co LLC	1,433	$5,961	1.1%	Defined
Held directly	126,393	$525,794	98.9%	Sole

PNC FINANCIAL SERVICES GROUP, INC.

$522,233

0.17%

125,537

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
PNC Bank, National Association	125,537	$522,233	100.0%	Defined

Pavaki Capital Management LLC

$520,000

0.17%

125,000

JPMORGAN CHASE & CO

$517,939

0.17%

124,505

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
JPMorgan Chase Bank, N.A.	44,766	$186,226	36.0%	Defined
J.P. Morgan Investment Management Inc.	4,094	$17,031	3.3%	Defined
J.P. Morgan Securities LLC	65,398	$272,055	52.5%	Defined
J.P. Morgan Securities plc	10,234	$42,573	8.2%	Defined
55I, LLC	13	$54	0.0%	Defined

GSA CAPITAL PARTNERS LLP

$483,641

0.16%

116,260

Bleakley Financial Group, LLC

$467,226

0.15%

112,314

HighTower Advisors, LLC

$441,688

0.15%

106,175

DEUTSCHE BANK AG\

$441,076

0.14%

106,028

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
DWS INVESTMENT MANAGEMENT AMERICAS, INC	703	$2,924	0.7%	Defined
DWS Investments UK Ltd	105,325	$438,152	99.3%	Defined

Financial Engines Advisors L.L.C.

$423,458

0.14%

101,793

ALLIANCEBERNSTEIN L.P.

$397,862

0.13%

95,640

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Equitable Holdings, Inc.	95,640	$397,862	100.0%	Defined

CITIGROUP INC

$390,960

0.13%

93,981

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citigroup Financial Products Inc. joint	93,981	$390,960	100.0%	Defined

PRICE T ROWE ASSOCIATES INC /MD/

$373,767

0.12%

89,848

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
T. Rowe Price International Ltd	89,848	$373,767	100.0%	Defined

Invesco Ltd.

$371,145

0.12%

89,218

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Invesco Advisers, Inc. joint	14,040	$58,406	15.7%	Defined
Invesco Trust Co joint	42,641	$177,386	47.8%	Defined
Invesco Capital Management LLC	32,537	$135,353	36.5%	Defined

LPL Financial LLC

$347,206

0.11%

83,463

Squarepoint Ops LLC

$292,955

0.10%

70,422

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Squarepoint Capital LLP	70,422	$292,955	100.0%	Defined

CORSAIR CAPITAL MANAGEMENT, L.P.

$291,200

0.10%

70,000

Virtu Financial LLC

$289,436

0.10%

69,576

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Virtu Americas LLC	69,576	$289,436	100.0%	Defined

CITADEL ADVISORS LLC

$272,480

0.09%

65,500

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	65,500	$272,480	100.0%	Defined

MetLife Investment Management, LLC

$264,376

0.09%

63,552

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
METLIFE INC	63,552	$264,376	100.0%	Defined

Beacon Pointe Advisors, LLC

$251,680

0.08%

60,500

OPPENHEIMER & CO INC

$212,376

0.07%

51,052

WINTON GROUP Ltd

$209,664

0.07%

50,400

RAYMOND JAMES FINANCIAL INC

$207,950

0.07%

49,988

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	25,738	$107,070	51.5%	Defined
Raymond James Financial Services Advisors, Inc.	24,250	$100,880	48.5%	Defined

Engineers Gate Manager LP

$207,496

0.07%

49,879

MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.

$206,864

0.07%

49,727

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Global X Management CO LLC joint	49,727	$206,864	100.0%	Defined

OSAIC HOLDINGS, INC.

$202,566

0.07%

48,694

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	47,630	$198,140	97.8%	Defined
Osaic Advisory Services, LLC	1,064	$4,426	2.2%	Defined

Penbrook Management LLC

$191,450

0.06%

41,350

HBK Sorce Advisory LLC

$176,995

0.06%

42,547

Voleon Capital Management LP

$172,893

0.06%

41,561

INTECH INVESTMENT MANAGEMENT LLC

$165,855

0.05%

39,869

Vanguard Global Advisers, LLC

$160,110

0.05%

38,488

DAYMARK WEALTH PARTNERS, LLC

$159,236

0.05%

38,278

VERUS CAPITAL PARTNERS, LLC

$158,496

0.05%

38,100

D. E. Shaw & Co., Inc.

$156,582

0.05%

37,640

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
D. E. SHAW & CO, L.P.	37,640	$156,582	100.0%	Defined

LETKO, BROSSEAU & ASSOCIATES INC

$146,952

0.05%

35,325

SUMMIT WEALTH & RETIREMENT PLANNING, INC.

$145,600

0.05%

35,000

Quantinno Capital Management LP

$143,923

0.05%

34,597

PROFUND ADVISORS LLC

$136,194

0.04%

32,739

TRANSCEND CAPITAL ADVISORS, LLC

$131,085

0.04%

31,511

MANUFACTURERS LIFE INSURANCE COMPANY, THE

$121,763

0.04%

29,270

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MANULIFE FINANCIAL CORP joint	29,270	$121,763	100.0%	Defined

Cambridge Investment Research Advisors, Inc.

$117,798

0.04%

28,317

AXQ CAPITAL, LP

$116,896

0.04%

28,100

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Key facts CIK 1398733 CUSIP 03843E104 13F (30d) 14 filings 14 filers Visit website Investor relations