RCKT · Rocket Pharmaceuticals, Inc. · Holdings

$2.25 -0.10 (-4.06%)

Russell 2000 member Rebalance outlook locked

Market Cap

$256.87M

109.77M

Volume · Oct 21 805.93K Avg daily vol (3M) 1.78M

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 RCKT: 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: 184

Total Value: $341,763,038

Total Shares: 101,676,696

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

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 187 13F filers

Top Holder

17.7%

of institutional value

Top 5

42.3%

of institutional value

Top 10

61.4%

of institutional value

HHI

606

Broadly held

Who Holds RCKT

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: 187 filers, like-for-like change +2.7%; actively managed books +8.5%; index-like books -12.2%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	57.2%	95	+8.6%	8	13
Exempt adviser	4.9%	4	+48.1%	1	2
Adviser	3.4%	6	+85.1%	0	0
Bank	10.7%	16	-19.2%	2	1
Insurer	0.0%	1	+6.1%	0	0
Broker-dealer	0.3%	1	+33.4%	0	2
Benefit plan	0.1%	2	+2871.8%	1	0
Non-US	0.8%	6	+1.9%	1	0
Holding company	14.6%	7	+16.2%	1	0
Unknown	8.0%	49	-37.3%	3	16

Style	Share	Filers	Change	New	Exited
Index-like	24.0%	21	-12.2%	1	2
Systematic-like	13.6%	22	+4.1%	4	6
Concentrated	9.4%	28	+12.4%	4	9
Diversified active	53.1%	116	+9.0%	8	17
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	29.1%	98	-5.7%	5	15
Medium turnover	39.0%	42	+7.9%	4	5
High turnover	21.8%	36	+2.1%	6	12
Unknown	10.1%	11	+11.9%	2	2
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	11.3%	20	+6.8%	5	11
Medium horizon	16.0%	32	+0.4%	3	6
Long horizon	56.5%	117	+0.6%	7	15
Unknown	16.2%	18	+10.1%	2	2
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	8.6%	27	+8.4%	3	13
$1B to $10B	4.4%	45	+6.6%	5	15
$10B to $100B	36.1%	60	+15.7%	8	3
$100B or more	50.9%	55	-5.9%	1	3
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	1.5%	42	-0.7%	4	5
Pooled investment vehicles	35.5%	27	+2.8%	3	6
Registered funds and BDCs	14.0%	9	+10.4%	0	2
Pension and profit sharing plans	0.0%	2	+25.9%	0	0
Insurance companies	0.1%	3	+4.4%	0	0
Governments and sovereign funds	0.1%	1	+1.1%	0	0
Corporations	0.0%	1	0.0%	0	0
Other investment advisers	0.0%	2	-38.1%	0	0
Diversified	5.9%	8	+61.0%	1	0
Other	0.0%	0	—	0	0
Unknown	42.8%	92	-4.3%	9	21

Private funds	Share	Filers	Change	New	Exited
Hedge funds	45.7%	34	+12.2%	5	7
Private equity funds	0.6%	10	-37.1%	2	1
Venture capital funds	0.2%	2	+0.4%	0	0
Real estate funds	0.1%	3	+585.5%	0	1
Securitized asset funds	0.0%	1	0.0%	0	0
Other private funds	1.6%	9	+10.3%	0	0
Mixed private funds	0.2%	1	+44.3%	0	0
Private funds, type not stated	0.1%	1	-27.7%	0	1
No private funds	13.6%	38	+9.8%	2	5
Unknown	37.9%	88	-8.4%	8	19

Location	Share	Filers	Change	New	Exited
United States	90.9%	155	+2.7%	13	28
Outside the US	9.1%	32	+2.2%	4	6

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 1 holder with no observed 2026-03-31 13F and 3 holders with no observed 2026-06-30 13F.

Conviction and Crowding

180 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

0.556% of filers hold it in their top 10

Mar 31, 2026: 1

Holders above 5%

median weight 0.000%

Mar 31, 2026: 0

Crowding

49.1%

of shares outstanding, 97th percentile

Mar 31, 2026: 45.6%

Private-fund advisers

43.8%

of shares outstanding

Institutional ownership

91.3%

116.5% of the estimated free float above 100%: filers can report lent or client shares more than once

Top 10 holders

61.6%

of 13F shares, Herfindahl 0.061

Active holders

+8.7%

like-for-like share change of active filers

5% stakes on record

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

How long holders have held it value-weighted 14.0 quarters

Under 1 year 21.7% 1 to 3 years 34.1% 3 years or more 44.2% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net sellers of $101,685 (0 buying, 1 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

$5.28

estimated per share

Mar 31, 2026: $5.76

Quarter-end price

$3.42

implied by 13F values

Estimated gain or loss

-35.3%

price against the estimated cost

Estimated at a loss

91.0%

of costed 13F value

Estimated cost covers 40.3% 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 RCKT's active holders also own, quarter ended Jun 30, 2026

#	Company	Shared holders	Similarity
1	WVE Wave Life Sciences, Inc.	6	0.314
2	LKFT Lakefront Biotherapeutics NV	3	0.267
3	PRQR ProQR Therapeutics N.V.	4	0.245
4	IVVD Invivyd, Inc.	3	0.194
5	PLRX Pliant Therapeutics, Inc.	3	0.189
6	MGTX MeiraGTx Holdings plc	3	0.189
7	VRDN Viridian Therapeutics, Inc.\DE	3	0.138
8	SNDX Syndax Pharmaceuticals Inc	3	0.125
9	MLYS Mineralys Therapeutics, Inc.	3	0.120
10	CMPS COMPASS Pathways plc	3	0.116

Shareholder Targets

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

Found through its holder-overlap peers: WVE, LKFT, PRQR, IVVD, PLRX, MGTX, VRDN, SNDX, MLYS, CMPS, QURE, ABVX, INSM, RVMD, IREN, NU, ALAB, NVDA, AMZN, GOOGL. 6,926 filers in all.

#	Filer	In peers	Of book	Largest peers
1	NORGES BANK Non-US, Index-like	$156,531,641,979 10 held	15.6%	NVDA, GOOGL, AMZN
2	Capital Research Global Investors Adviser, Diversified active	$110,597,165,738 5 held	15.4%	NVDA, GOOGL, AMZN
3	Capital World Investors Adviser, Diversified active	$81,978,734,497 7 held	9.71%	GOOGL, NVDA, AMZN
4	Amundi Holding company, Index-like	$61,507,239,398 8 held	14.8%	NVDA, GOOGL, AMZN
5	Capital International Investors Adviser, Diversified active	$53,970,465,468 5 held	11.0%	GOOGL, NVDA, AMZN
6	Fisher Asset Management, LLC Adviser, Diversified active	$41,626,514,885 6 held	13.3%	NVDA, GOOGL, AMZN
7	Berkshire Hathaway Inc Insurer, Concentrated	$37,764,088,381 1 held	12.6%	GOOGL
8	Jupiter Topco LLC Unknown, Diversified active	$36,460,736,925 16 held	14.9%	NVDA, GOOGL, AMZN
9	JENNISON ASSOCIATES LLC Registered adviser, Diversified active	$33,512,599,423 9 held	19.9%	NVDA, GOOGL, AMZN
10	HSBC HOLDINGS PLC Unknown, Index-like	$33,162,456,072 12 held	16.1%	NVDA, GOOGL, AMZN

Fund Ownership of RCKT by Fund Type

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

Index funds and index ETFs hold 11.96% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	2.87%	+0.36 pp	3,148,258	55
Index ETFs	9.10%	-1.53 pp	9,984,820	28
Active ETFs	0.81%	+0.29 pp	893,810	9
Active funds	9.29%	+3.76 pp	10,200,383	61
Unclassified	1.24%	+1.24 pp	1,359,305	6
All registered funds	23.31%	+4.12 pp	25,586,576	159

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 94 Exempt adviser 4 Adviser 6 Bank 16 Insurer 1 Broker-dealer 2 Benefit plan 2 Non-US 6 Holding company 7 Unknown 46

Showing 100 of 192

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

RTW INVESTMENTS, LP

$60,492,180

17.70%

17,687,772

BlackRock, Inc.

$33,939,943

9.93%

9,923,962

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	521,816	$1,784,610	5.3%	Sole
BlackRock Asset Management Canada Ltd	555	$1,898	0.0%	Sole
BlackRock Investment Management, LLC	401,058	$1,371,618	4.0%	Sole
BLACKROCK ADVISORS LLC	305,719	$1,045,558	3.1%	Sole
BlackRock Fund Advisors	4,464,130	$15,267,324	45.0%	Sole
BlackRock Institutional Trust Company, N.A.	3,872,721	$13,244,705	39.0%	Sole
BlackRock Japan Co. Ltd	6,278	$21,470	0.1%	Sole
BlackRock Investment Management (UK) Ltd.	11,380	$38,919	0.1%	Sole
BlackRock (Netherlands) B.V.	1,058	$3,618	0.0%	Sole
BlackRock Asset Management Ireland Ltd	79,026	$270,268	0.8%	Sole
Aperio Group, LLC	259,841	$888,656	2.6%	Sole
SpiderRock Advisors, LLC	380	$1,299	0.0%	Sole

VANGUARD PORTFOLIO MANAGEMENT LLC

$19,870,312

5.81%

5,810,033

CITIGROUP INC

$16,640,184

4.87%

4,865,551

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	4,865,551	$16,640,184	100.0%	Defined

MARSHALL WACE, LLP

$13,780,075

4.03%

4,029,262

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	4,029,262	$13,780,075	100.0%	Other

MILLENNIUM MANAGEMENT LLC

$13,681,176

4.00%

4,000,344

Newtyn Management, LLC

$13,680,000

4.00%

4,000,000

MAVERICK CAPITAL LTD

$13,419,953

3.93%

3,923,963

VANGUARD CAPITAL MANAGEMENT LLC

$12,942,603

3.79%

3,784,387

AQR CAPITAL MANAGEMENT LLC

$11,580,669

3.39%

3,386,162

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

Manager	Shares	Value (USD)	% of position	Discretion
Petros Family Wealth, LLC	188	$642	0.0%	Other
KEB ASSET MANAGEMENT, LLC	459	$1,569	0.0%	Other
RF&L WEALTH MANAGEMENT, LLC	133	$454	0.0%	Other
Arax Advisory Partners	47,004	$160,753	1.4%	Other
HALBERT HARGROVE GLOBAL ADVISORS, LLC	12,237	$41,850	0.4%	Other
Stokes Family Office, LLC	8,838	$30,225	0.3%	Other
Held directly	3,317,303	$11,345,176	98.0%	Defined

GOLDMAN SACHS GROUP INC

$9,690,319

2.84%

2,833,427

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	1,744,600	$5,966,532	61.6%	Defined
GOLDMAN SACHS ASSET MANAGEMENT, L.P.	1,065,818	$3,645,097	37.6%	Defined
Goldman Sachs Trust Company, N.A. joint	23,009	$78,690	0.8%	Other

Monaco Asset Management SAM

$8,483,200

2.48%

2,480,468

GEODE CAPITAL MANAGEMENT, LLC

$8,107,892

2.37%

2,370,729

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	335,270	$1,146,623	14.1%	Defined
Held directly	2,035,459	$6,961,269	85.9%	Defined

FEDERATED HERMES, INC.

$7,880,387

2.31%

2,304,207

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	55,452	$189,645	2.4%	Defined
FEDERATED MDTA LLC	2,248,755	$7,690,742	97.6%	Defined

JPMORGAN CHASE & CO

$6,800,369

1.99%

1,988,413

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

Manager	Shares	Value (USD)	% of position	Discretion
J.P. Morgan Trust Co of Delaware	1,111	$3,799	0.1%	Other
JPMorgan Chase Bank, N.A.	58,787	$201,051	3.0%	Defined
J.P. Morgan Investment Management Inc.	308,113	$1,053,746	15.5%	Defined
J.P. Morgan Securities LLC	1,214,083	$4,152,163	61.1%	Defined
J.P. Morgan Securities plc	6,499	$22,226	0.3%	Defined
JPMorgan Asset Management (UK) Ltd	399,820	$1,367,384	20.1%	Defined

JACOBS LEVY EQUITY MANAGEMENT, INC

$6,754,144

1.98%

1,974,896

STATE STREET CORP

$6,224,813

1.82%

1,820,121

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	1,820,121	$6,224,813	100.0%	Defined

DIMENSIONAL FUND ADVISORS LP

$3,849,208

1.13%

1,125,500

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

Manager	Shares	Value (USD)	% of position	Discretion
Dimensional Fund Advisors Ltd.	9,955	$34,046	0.9%	Defined
DFA Australia Ltd.	10,518	$35,971	0.9%	Defined
Dimensional Ireland Ltd	45,918	$157,039	4.1%	Defined
Held directly	1,059,109	$3,622,152	94.1%	Sole

MORGAN STANLEY

$3,633,822

1.06%

1,062,522

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	134	$458	0.0%	Defined
MORGAN STANLEY & CO. LLC	32,242	$110,267	3.0%	Defined
MORGAN STANLEY CAPITAL SERVICES, LLC	108,189	$370,006	10.2%	Defined
MORGAN STANLEY INVESTMENT MANAGEMENT INC	1,655	$5,660	0.2%	Defined
MORGAN STANLEY SMITH BARNEY LLC	89,422	$305,822	8.4%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	830,880	$2,841,609	78.2%	Defined

Opaleye Management Inc.

$3,420,000

1.00%

1,000,000

D. E. Shaw & Co., Inc.

$3,250,887

0.95%

950,552

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.	892,497	$3,052,339	93.9%	Defined
D. E. Shaw Investment Management, L.L.C. joint	58,055	$198,548	6.1%	Defined

Jump Financial, LLC

$2,968,218

0.87%

867,900

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

Manager	Shares	Value (USD)	% of position	Discretion
Leap GP LLC joint	867,900	$2,968,218	100.0%	Defined

RENAISSANCE TECHNOLOGIES LLC

$2,711,971

0.79%

792,974

CHARLES SCHWAB INVESTMENT MANAGEMENT INC

$2,561,829

0.75%

749,073

NORTHERN TRUST CORP

$2,514,006

0.74%

735,090

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	720,906	$2,465,497	98.1%	Defined
DWS INVESTMENT MANAGEMENT AMERICAS, INC joint	14,184	$48,509	1.9%	Other

BANK OF AMERICA CORP /DE/

$2,512,276

0.74%

734,584

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	663,987	$2,270,835	90.4%	Defined
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	30,744	$105,144	4.2%	Defined
BOFA SECURITIES, INC.	39,853	$136,297	5.4%	Defined

Prosight Management, LP

$2,394,000

0.70%

700,000

Point72 Asset Management, L.P.

$2,293,202

0.67%

670,527

Qube Research & Technologies Ltd

$2,205,451

0.65%

644,869

Woodline Partners LP

$2,192,979

0.64%

641,222

VANGUARD FIDUCIARY TRUST CO

$2,027,526

0.59%

592,844

FMR LLC

$1,669,982

0.49%

488,299

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

Manager	Shares	Value (USD)	% of position	Discretion
Fidelity Management & Research Co LLC	465,646	$1,592,509	95.4%	Defined
STRATEGIC ADVISERS LLC	22,653	$77,473	4.6%	Defined

IEQ CAPITAL, LLC

$1,505,672

0.44%

440,255

ADAR1 Capital Management, LLC

$1,489,410

0.44%

435,500

Aberdeen Group plc

$1,360,226

0.40%

397,727

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

Manager	Shares	Value (USD)	% of position	Discretion
abrdn Inc.	397,727	$1,360,226	100.0%	Defined

BNP PARIBAS ARBITRAGE, SA

$1,323,762

0.39%

387,065

Invesco Ltd.

$1,310,938

0.38%

383,316

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	11,052	$37,797	2.9%	Defined
Invesco Trust Co joint	35,857	$122,630	9.4%	Defined
Invesco Capital Management LLC	336,407	$1,150,511	87.8%	Defined

LOS ANGELES CAPITAL MANAGEMENT LLC

$1,190,478

0.35%

348,093

Susquehanna Portfolio Strategies, LLC

$1,135,802

0.33%

332,106

LPL Financial LLC

$1,100,679

0.32%

321,836

TWO SIGMA INVESTMENTS, LP

$1,079,902

0.32%

315,761

BIT Capital GmbH

$1,019,160

0.30%

298,000

AMERIPRISE FINANCIAL INC

$940,530

0.28%

275,009

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

Manager	Shares	Value (USD)	% of position	Discretion
Columbia Management Investment Advisers, LLC	275,009	$940,530	100.0%	Defined

Bank of New York Mellon Corp

$888,545

0.26%

259,809

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

Manager	Shares	Value (USD)	% of position	Discretion
Mellon Investments Corporation	92,206	$315,344	35.5%	Defined
The Bank of New York Mellon	162,312	$555,107	62.5%	Defined
BNY Mellon, NA joint	5,290	$18,091	2.0%	Defined
Held directly	1	$3	0.0%	Defined

Privium Fund Management B.V.

$834,979

0.24%

244,146

M28 Capital Management LP

$721,178

0.21%

210,871

UBS Group AG

$689,614

0.20%

201,642

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	28,111	$96,139	13.9%	Defined
UBS AG	156,621	$535,643	77.7%	Defined
UBS Switzerland AG	16,910	$57,832	8.4%	Defined

Nuveen, LLC

$683,295

0.20%

199,794

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	21,494	$73,509	10.8%	Defined
TEACHERS ADVISORS, LLC joint	178,300	$609,786	89.2%	Defined

Mariner, LLC

$679,424

0.20%

198,662

ALLIANCEBERNSTEIN L.P.

$669,123

0.20%

195,650

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

Manager	Shares	Value (USD)	% of position	Discretion
Equitable Holdings, Inc.	195,650	$669,123	100.0%	Defined

PRICE T ROWE ASSOCIATES INC /MD/

$640,959

0.19%

187,415

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	187,415	$640,959	100.0%	Defined

PDT Partners, LLC

$638,158

0.19%

186,596

Squarepoint Ops LLC

$619,522

0.18%

181,147

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

Manager	Shares	Value (USD)	% of position	Discretion
Squarepoint Capital LLP	181,147	$619,522	100.0%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$612,864

0.18%

179,200

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	179,200	$612,864	100.0%	Other

Amitell Capital Pte Ltd

$611,389

0.18%

178,769

Hennion & Walsh Asset Management, Inc.

$579,720

0.17%

220,426

RAYMOND JAMES FINANCIAL INC

$542,076

0.16%

158,502

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	153,704	$525,667	97.0%	Defined
Raymond James Financial Services Advisors, Inc.	4,798	$16,409	3.0%	Defined

MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.

$521,998

0.15%

152,631

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	152,631	$521,998	100.0%	Defined

Russell Investments Group, Ltd.

$516,188

0.15%

150,933

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 joint	79,148	$270,685	52.4%	Defined
Russell Investments Capital, LLC joint	14,200	$48,564	9.4%	Other
Russell Investments France SAS	19,064	$65,198	12.6%	Defined
Russell Investments Japan Co., LTD. joint	13,300	$45,486	8.8%	Other
Russell Investments Trust Company joint	25,221	$86,255	16.7%	Other

GOLDMAN SACHS GROUP INC

$478,800

0.14%

140,000

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	140,000	$478,800	100.0%	Defined

PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO

$462,042

0.14%

135,100

Jain Global LLC

$460,554

0.13%

134,665

Creative Planning

$450,013

0.13%

131,583

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	9,430	$32,250	7.2%	Defined
Held directly	122,153	$417,763	92.8%	Sole

Virtus Investment Advisers, LLC

$406,915

0.12%

118,981

RHUMBLINE ADVISERS

$381,029

0.11%

111,412

Schonfeld Strategic Advisors LLC

$378,477

0.11%

110,666

MERCER GLOBAL ADVISORS INC /ADV

$369,455

0.11%

108,028

AMERICAN CENTURY COMPANIES INC

$347,519

0.10%

101,614

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

Manager	Shares	Value (USD)	% of position	Discretion
AMERICAN CENTURY INVESTMENT MANAGEMENT INC	101,614	$347,519	100.0%	Defined

TANG CAPITAL MANAGEMENT LLC

$342,000

0.10%

100,000

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

Manager	Shares	Value (USD)	% of position	Discretion
TANG KEVIN	100,000	$342,000	100.0%	Other

RICE HALL JAMES & ASSOCIATES, LLC

$329,923

0.10%

96,469

BOOTHBAY FUND MANAGEMENT, LLC

$323,966

0.09%

94,727

Balyasny Asset Management L.P.

$322,382

0.09%

94,264

Cerity Partners LLC

$314,040

0.09%

91,825

Weiss Asset Management LP

$294,338

0.09%

86,064

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

Manager	Shares	Value (USD)	% of position	Discretion
WEISS ANDREW M joint	86,064	$294,338	100.0%	Defined

Lion Point Capital, LP

$294,120

0.09%

86,000

DEUTSCHE BANK AG\

$287,885

0.08%

84,177

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

Manager	Shares	Value (USD)	% of position	Discretion
DWS Investments UK Ltd	84,177	$287,885	100.0%	Defined

WELLS FARGO & COMPANY/MN

$284,153

0.08%

83,086

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	75,745	$259,047	91.2%	Defined
WELLS FARGO CLEARING SERVICES, LLC	7,341	$25,106	8.8%	Defined

Marex Group plc

$247,950

0.07%

72,500

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

Manager	Shares	Value (USD)	% of position	Discretion
Marex Financial	72,500	$247,950	100.0%	Defined

Engineers Gate Manager LP

$244,697

0.07%

71,549

PIER 88 INVESTMENT PARTNERS LLC

$244,530

0.07%

71,500

CITADEL ADVISORS LLC

$243,401

0.07%

71,170

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	71,170	$243,401	100.0%	Defined

Ballentine Partners, LLC

$240,785

0.07%

70,405

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

Manager	Shares	Value (USD)	% of position	Discretion
Aperio Group, LLC	70,405	$240,785	100.0%	Other

BANK OF MONTREAL /CAN/

$240,763

0.07%

70,399

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

Manager	Shares	Value (USD)	% of position	Discretion
BMO Bank N.A.	2,047	$7,000	2.9%	Defined
BMO Family Office, LLC	67,349	$230,333	95.7%	Defined
BMO NESBITT BURNS INC.	3	$10	0.0%	Defined
Stoker Ostler Wealth Advisors, Inc.	1,000	$3,420	1.4%	Defined

Assenagon Asset Management S.A.

$223,063

0.07%

84,815

CITADEL ADVISORS LLC

$222,300

0.07%

65,000

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	65,000	$222,300	100.0%	Defined

WELLINGTON MANAGEMENT GROUP LLP

$210,689

0.06%

61,605

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	20,505	$70,127	33.3%	Defined
Wellington Trust Company, NA joint	41,100	$140,562	66.7%	Defined

Walleye Capital LLC

$206,605

0.06%

60,411

Velan Capital Investment Management LP

$205,200

0.06%

60,000

CANADA PENSION PLAN INVESTMENT BOARD

$200,070

0.06%

58,500

NOMURA ASSET MANAGEMENT INTERNATIONAL INC.

$198,360

0.06%

58,000

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

Manager	Shares	Value (USD)	% of position	Discretion
NOMURA HOLDINGS INC joint	58,000	$198,360	100.0%	Defined

Arax Advisory Partners

$180,422

0.05%

52,755

Concurrent Investment Advisors, LLC

$178,056

0.05%

67,702

TUDOR INVESTMENT CORP ET AL

$172,686

0.05%

50,493

MetLife Investment Management, LLC

$156,143

0.05%

45,656

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

Manager	Shares	Value (USD)	% of position	Discretion
METLIFE INC	45,656	$156,143	100.0%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$134,525

0.04%

39,335

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	39,335	$134,525	100.0%	Other

Quantinno Capital Management LP

$132,285

0.04%

38,680

CAPTRUST FINANCIAL ADVISORS

$131,208

0.04%

38,365

Corient Private Wealth LLC

$129,340

0.04%

37,819

Rockefeller Capital Management L.P.

$119,415

0.03%

34,917

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER & CO. LLC	292	$998	0.8%	Defined
ROCKEFELLER TRUST COMPANY, N.A.	3,725	$12,739	10.7%	Defined
ROCKEFELLER FINANCIAL LLC	30,900	$105,678	88.5%	Defined

BRIGHTON JONES LLC

$112,815

0.03%

32,987

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Key facts CIK 1281895 CUSIP 77313F106 13F (30d) 14 filings 14 filers Visit website Investor relations