APOLLO ENDOSURGERY INC (APEN)
Institutional ownership reported to the SEC as of Q1 2023, across 18 quarters.
81
Reporting holders
$424.3M
Reported value
5.0%
Held as options
+9
Holder change
Options share is the part of reported value carried in derivative lines rather than shares. A high figure means institutions are expressing a view on this security without owning much of it.
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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Russell Investments Group, Ltd. | $1.0M | 103,124 | 0.00% | 3q | -82.6%-$4.9M |
| JANE STREET GROUP, LLC | $988.1K | 99,609 | 0.00% | 2q | +139.7%+$575.9K |
| 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 |
| 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 |
| 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 |
| Sunbelt Securities, Inc. | $27.8K | 2,799 | 0.00% | new | NEW |
| MILLENNIUM MANAGEMENT LLC | $18.4K | 1,851,473 | 0.01% | 6q | +320.9%+$14.0K |
| Trium Capital LLP | $9.8K | 992,046 | 3.41% | 2q | +2953.6%+$9.5K |
| Royal Bank of Canada | $6.0K | 569 | 0.00% | new | NEW |
| BARDIN HILL MANAGEMENT PARTNERS LP | $4.4K | 443,848 | 1.09% | 2q | +72.5%+$1.9K |
| SYQUANT CAPITAL SAS | $3.0K | 300,000 | 6.90% | 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 |
| RENAISSANCE TECHNOLOGIES LLC | $1.2K | 123,100 | 0.00% | 18q | -41.3% |
| Skandinaviska Enskilda Banken AB (publ) | $992 | 100,000 | 0.01% | new | NEW |
| Belpointe Asset Management LLC | $992 | 100 | 0.00% | new | NEW |
| Virtu Financial LLC | $679 | 68,454 | 0.07% | new | NEW |
| Sugarloaf Wealth Management, LLC | $645 | 65 | 0.00% | 3q | HELD |
| ExodusPoint Capital Management, LP | $485 | 48,933 | 0.00% | new | NEW |
| FNY Investment Advisers, LLC | $178 | 18,030 | 0.20% | new | NEW |
| UNIVERSITY OF TEXAS/TEXAS AM INVESTMENT MANAGMENT CO | $155 | 15,601 | 0.06% | 17q | -50.0% |
| Tower Research Capital LLC (TRC) | $60 | 6,069 | 0.00% | 4q | +73.6% |
| Cutler Group LLC / CA | $13 | 1,400 | 0.00% | 2q | +7.7% |
| Aquatic Capital Management LLC | $13 | 1,300 | 0.00% | new | NEW |
| SIMPLEX TRADING, LLC | $2 | options only | 0.00% | 9q | OPTIONS |
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 | 81 | $424.3M | 40,635,618 | 25 | 27 | 16 | 5.0% |
| Q4 2022 | 72 | $368.6M | 34,300,499 | 35 | 16 | 12 | 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% |