Moors & Cabot’s CASI Pharmaceuticals CASI Stock Holding History

Moors & Cabot’s Portfolio CASI Stock Details CASI Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-2,294	Closed	-$187K	–	586
2018 Q2	$187K	Hold	2,294	–	–	0.03%	519
2018 Q1	$96K	Sell	2,294 -172	-7%	-$6.42K	0.01%	557
2017 Q4	$82K	Sell	2,466 -139	-5%	-$3.78K	0.01%	549
2017 Q3	$48K	Hold	2,605	–	–	0.01%	527
2017 Q2	$27K	Hold	2,605	–	–	﹤0.01%	502
2017 Q1	$38K	Sell	2,605 -5,344	-67%	-$72.6K	0.01%	502
2016 Q4	$92K	Sell	7,949 -466	-6%	-$6.38K	0.02%	516
2016 Q3	$93K	Sell	8,415 -46	-0.5%	-$505	0.02%	513
2016 Q2	$102K	Buy	8,461 +615	+8%	+$7.76K	0.02%	488
2016 Q1	$83K	Buy	7,846 +1,398	+22%	+$13.5K	0.02%	490
2015 Q4	$59K	Sell	6,448 -1,792	-22%	-$20.3K	0.01%	481
2015 Q3	$87K	Sell	8,240 -576	-7%	-$8.29K	0.02%	473
2015 Q2	$162K	Sell	8,816 -205	-2%	-$3.06K	0.03%	475
2015 Q1	$129K	Sell	9,021 -879	-9%	-$13.8K	0.02%	464
2014 Q4	$132K	Buy	9,900 +330	+3%	+$5.17K	0.02%	467
2014 Q3	$175K	Buy	+9,570	New	+$170K	0.03%	493
2014 Q2	–	Sell	-2,531	Closed	-$46K	–	536
2014 Q1	$46K	Buy	+2,531	New	+$47.9K	0.01%	368

Other funds holding CASI

BlackRock New York $5.72T AUM 30.48% 1-Year Est. Return

Vanguard Group Malvern, Pennsylvania $6.9T AUM 27.45% 1-Year Est. Return

Wellington Shields & Co New York $392M AUM 30.65% 1-Year Est. Return

Wellington Shields Capital Management New York $666M AUM 45.43% 1-Year Est. Return

State Street Boston, Massachusetts $2.9T AUM 29.55% 1-Year Est. Return

Northern Trust Chicago, Illinois $757B AUM 28.64% 1-Year Est. Return

Geode Capital Management

Geode Capital Management Boston, Massachusetts $1.61T AUM 30.72% 1-Year Est. Return

Charles Schwab San Francisco, California $654B AUM 26.35% 1-Year Est. Return

California Public Employees Retirement System

California Public Employees Retirement System Sacramento, California $162B AUM 25.78% 1-Year Est. Return

ALPS Advisors Denver, Colorado $21.3B AUM 21.71% 1-Year Est. Return