APOLLO ENDOSURGERY INC (APEN)
Institutional ownership reported to the SEC as of Q1 2023, across 18 quarters.
94
Reporting holders
$463.7M
Reported value
4.6%
Calls
0.0%
Puts
+9
Holder change
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| Nantahala Capital Management, LLC | $65.2M | 4,575,021 | 5.00% | 18q | +12.8%+$7.4M |
| CPMG Inc | $61.3M | 6,183,603 | 12.37% | 18q | HELD |
| NEXPOINT ASSET MANAGEMENT, L.P. | $35.8M | 3,613,419 | 3.88% | 2q | +25895.8%+$35.7M |
| CITIGROUP INC | $19.8M | 2,000,000 | 0.01% | 6q | -16.2%-$3.8M |
| MILLENNIUM MANAGEMENT LLC | $18.4M | 1,851,473 | 0.01% | 6q | +320.9%+$14.0M |
| Woodline Partners LP | $17.9M | 1,809,001 | 0.24% | 2q | +137.2%+$10.4M |
| VANGUARD GROUP INC | $17.8M | 1,794,761 | 0.00% | 18q | +22.3%+$3.2M |
| Schonfeld Strategic Advisors LLC | $17.3M | 1,739,807 | 0.17% | 2q | +6360.2%+$17.0M |
| GARDNER LEWIS ASSET MANAGEMENT L P | $14.2M | 1,428,884 | 4.90% | new | NEW |
| Ergoteles LLC | $14.0M | 1,414,792 | 0.55% | new | NEW |
| JPMORGAN CHASE & CO | $13.3M | 1,338,150 | 0.00% | 2q | +24.6%+$2.6M |
| GABELLI FUNDS LLC | $12.1M | 1,221,882 | 0.09% | 2q | +340.7%+$9.4M |
| Man Group plc | $9.9M | 1,000,000 | 0.04% | new | NEW |
| Trium Capital LLP | $9.8M | 992,046 | 3.41% | 2q | +2953.6%+$9.5M |
| GABELLI & Co INVESTMENT ADVISERS, INC. | $7.9M | 791,772 | 1.51% | 2q | +312.7%+$6.0M |
| FEDERATED HERMES, INC. | $7.2M | 721,000 | 0.02% | 2q | +134.1%+$4.1M |
| BlackRock Inc. | $6.7M | 671,529 | 0.00% | 18q | +31.0%+$1.6M |
| Flow State Investments, L.P. | $5.5M | 550,520 | 4.43% | new | NEW |
| Capula Management Ltd | $5.4M | 546,965 | 0.07% | new | NEW |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $5.3M | 420,511 | 0.00% | 9q | +158.7%+$3.3M |
| Qube Research & Technologies Ltd | $5.3M | 536,288 | 0.02% | 2q | +87.5%+$2.5M |
| AWM Investment Company, Inc. | $4.8M | 486,761 | 0.65% | 6q | -38.1%-$3.0M |
| First Trust Capital Management L.P. | $4.7M | 474,664 | 0.20% | 2q | HELD |
| BARDIN HILL MANAGEMENT PARTNERS LP | $4.4M | 443,848 | 1.09% | 2q | +72.5%+$1.9M |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | $4.3M | 430,063 | 0.05% | new | NEW |
| Vazirani Asset Management LLC | $4.2M | 425,000 | 7.97% | new | NEW |
| PRELUDE CAPITAL MANAGEMENT, LLC | $4.2M | 420,413 | 0.25% | new | NEW |
| Magnetar Financial LLC | $4.1M | 417,191 | 0.08% | 2q | HELD |
| MORGAN STANLEY | $4.1M | 416,826 | 0.00% | 9q | +21.6%+$735.9K |
| Arena Investors LP | $3.9M | 391,467 | 3.01% | new | NEW |
| GILDER GAGNON HOWE & CO LLC | $3.7M | 371,653 | 0.06% | 8q | HELD |
| Stonepine Capital Management, LLC | $3.7M | 370,000 | 1.23% | 18q | -90.1%-$33.3M |
| GEODE CAPITAL MANAGEMENT, LLC | $3.6M | 360,480 | 0.00% | 18q | -3.2%-$117.5K |
| Crystalline Management Inc. | $3.0M | 308,646 | 2.21% | 2q | +727.0%+$2.7M |
| SYQUANT CAPITAL SAS | $3.0M | 300,000 | 6.90% | new | NEW |
| GOLDMAN SACHS GROUP INC | $2.7M | 267,308 | 0.00% | 18q | +79.1%+$1.2M |
| BANK OF AMERICA CORP /DE/ | $2.6M | 257,485 | 0.00% | 6q | +528.5%+$2.1M |
| Verition Fund Management LLC | $2.5M | 247,210 | 0.03% | 2q | +1801.6%+$2.3M |
| Yakira Capital Management, Inc. | $2.0M | 196,615 | 0.49% | new | NEW |
| NORTHERN TRUST CORP | $1.9M | 190,420 | 0.00% | 18q | -3.1%-$61.2K |
| BRIDGEWAY CAPITAL MANAGEMENT, LLC | $1.7M | 175,200 | 0.05% | 16q | HELD |
| Sagefield Capital LP | $1.5M | 154,500 | 0.35% | new | NEW |
| GAMCO INVESTORS, INC. ET AL | $1.5M | 150,777 | 0.02% | 2q | +242.6%+$1.1M |
| GAM Holding AG | $1.5M | 147,220 | 0.10% | new | NEW |
| WOLVERINE ASSET MANAGEMENT LLC | $1.4M | 145,847 | 0.02% | 2q | +2069.1%+$1.4M |
| CSS LLC/IL | $1.4M | 141,980 | 0.09% | 2q | +182.7%+$920.6K |
| BCK Capital Management LP | $1.4M | 141,222 | 1.22% | 2q | +1.6%+$22.0K |
| STATE STREET CORP | $1.4M | 140,566 | 0.00% | 8q | +19.2%+$224.2K |
| NJ State Employees Deferred Compensation Plan | $1.3M | 130,000 | 0.20% | 18q | HELD |
| RENAISSANCE TECHNOLOGIES LLC | $1.2M | 123,100 | 0.00% | 18q | -41.3%-$858.0K |
| Russell Investments Group, Ltd. | $1.0M | 103,124 | 0.00% | 3q | -82.6%-$4.9M |
| Skandinaviska Enskilda Banken AB (publ) | $992.0K | 100,000 | 0.01% | new | NEW |
| JANE STREET GROUP, LLC | $988.1K | 99,609 | 0.00% | 2q | +139.7%+$575.9K |
| Virtu Financial LLC | $679.0K | 68,454 | 0.07% | new | NEW |
| WATER ISLAND CAPITAL LLC | $665.9K | 67,123 | 0.05% | 2q | -85.1%-$3.8M |
| GAGNON SECURITIES LLC | $664.2K | 66,957 | 0.14% | 18q | -96.1%-$16.2M |
| Maven Securities LTD | $580.3K | 58,500 | 0.01% | 2q | +33.7%+$146.3K |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | $565.8K | 57,037 | 0.08% | new | NEW |
| Bank of New York Mellon Corp | $552.9K | 55,737 | 0.00% | 5q | HELD |
| NEUBERGER BERMAN GROUP LLC | $496.0K | 50,000 | 0.00% | 9q | HELD |
| ExodusPoint Capital Management, LP | $485.0K | 48,933 | 0.00% | new | NEW |
| Boston Partners | $321.4K | 32,403 | 0.00% | 3q | -76.2%-$1.0M |
| HARVEST MANAGEMENT LLC | $297.6K | 30,000 | 0.22% | 2q | -40.0%-$198.4K |
| CenterBook Partners LP | $293.9K | 29,628 | 0.04% | new | NEW |
| LMR Partners LLP | $259.7K | 26,184 | 0.00% | new | NEW |
| Alpine Global Management, LLC | $250.7K | 25,269 | 0.10% | new | NEW |
| Jump Financial, LLC | $249.7K | 25,167 | 0.01% | 3q | -29.3%-$103.3K |
| THOMPSON DAVIS & CO., INC. | $248.0K | 25,000 | 0.32% | 6q | -7.4%-$19.8K |
| Black Maple Capital Management LP | $242.7K | 24,461 | 0.23% | new | NEW |
| VOLORIDGE INVESTMENT MANAGEMENT, LLC | $216.0K | 21,770 | 0.00% | new | NEW |
| FNY Investment Advisers, LLC | $178.0K | 18,030 | 0.20% | new | NEW |
| UNIVERSITY OF TEXAS/TEXAS AM INVESTMENT MANAGMENT CO | $155.0K | 15,601 | 0.06% | 17q | -50.0%-$155.0K |
| Jefferies Financial Group Inc. | $152.4K | 15,365 | 0.00% | new | NEW |
| CITADEL ADVISORS LLC | $150.9K | 13,615 | 0.00% | 9q | +30.7%+$35.5K |
| State of Wyoming | $147.4K | 14,860 | 0.05% | new | NEW |
| Balyasny Asset Management L.P. | $145.1K | 14,622 | 0.00% | 2q | +15.1%+$19.0K |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC | $138.2K | 13,931 | 0.00% | 5q | -19.0%-$32.4K |
| Hunting Hill Global Capital, LLC | $128.1K | 12,911 | 0.10% | new | NEW |
| FMR LLC | $126.4K | 12,738 | 0.00% | 2q | +8118.1%+$124.8K |
| MORRIS FINANCIAL CONCEPTS, INC. | $110.6K | 11,149 | 0.08% | 2q | HELD |
| Utah Peaks Capital Inc | $105.2K | options only | 0.14% | new | OPTIONS |
| GROUP ONE TRADING, L.P. | $95.2K | options only | 0.00% | 9q | OPTIONS |
| BARCLAYS PLC | $69.9K | 7,047 | 0.00% | 3q | -60.3%-$106.3K |
| Tower Research Capital LLC (TRC) | $60.0K | 6,069 | 0.00% | 4q | +73.6%+$25.4K |
| Sunbelt Securities, Inc. | $27.8K | 2,799 | 0.00% | new | NEW |
| Cutler Group LLC / CA | $13.0K | 1,400 | 0.00% | 2q | +7.7% |
| Aquatic Capital Management LLC | $13.0K | 1,300 | 0.00% | new | NEW |
| Royal Bank of Canada | $6.0K | 569 | 0.00% | new | NEW |
| RAMIUS ADVISORS LLC | $2.7K | options only | 0.00% | 2q | OPTIONS |
| WELLS FARGO & COMPANY/MN | $2.3K | 236 | 0.00% | 8q | -10.6% |
| UBS Group AG | $2.2K | 223 | 0.00% | 18q | -99.4%-$348.2K |
| SIMPLEX TRADING, LLC | $2.0K | options only | 0.00% | 9q | OPTIONS |
| Belpointe Asset Management LLC | $992 | 100 | 0.00% | new | NEW |
| Sugarloaf Wealth Management, LLC | $645 | 65 | 0.00% | 3q | HELD |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q1 2023 | 94 | $463.7M | 44,605,872 | 31 | 32 | 18 | 4.6% |
| Q4 2022 | 85 | $402.8M | 37,008,262 | 41 | 19 | 14 | 8.4% |
| Q3 2022 | 57 | $186.0M | 31,642,443 | 9 | 21 | 12 | 6.3% |
| Q2 2022 | 63 | $116.7M | 30,152,042 | 12 | 19 | 14 | 5.4% |
| Q1 2022 | 69 | $179.6M | 29,560,519 | 13 | 21 | 23 | 0.4% |
| Q4 2021 | 74 | $241.0M | 28,420,660 | 24 | 29 | 8 | 0.6% |
| Q3 2021 | 55 | $159.9M | 17,545,954 | 10 | 19 | 11 | 0.6% |
| Q2 2021 | 47 | $127.4M | 15,618,995 | 15 | 15 | 6 | 0.7% |
| Q1 2021 | 39 | $74.7M | 13,491,931 | 19 | 10 | 4 | 0.5% |
| Q4 2020 | 22 | $44.2M | 13,006,509 | 3 | 10 | 3 | 0.0% |
| Q3 2020 | 23 | $18.8M | 11,134,634 | 1 | 8 | 3 | 0.0% |
| Q2 2020 | 25 | $14.5M | 8,868,636 | 2 | 7 | 7 | 0.0% |
| Q1 2020 | 25 | $16.6M | 8,660,791 | 3 | 8 | 3 | 0.0% |
| Q4 2019 | 25 | $24.2M | 8,447,425 | 2 | 5 | 7 | 0.0% |
| Q3 2019 | 25 | $26.9M | 8,172,945 | 3 | 6 | 4 | 0.0% |
| Q2 2019 | 26 | $30.1M | 9,272,762 | 2 | 6 | 5 | 0.0% |
| Q1 2019 | 29 | $34.2M | 9,143,540 | 3 | 12 | 6 | 0.0% |
| Q4 2018 | 31 | $29.9M | 8,661,849 | 1 | 0 | 0 | 0.0% |