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NGEN

NervGen Pharma
NGEN

Name Holding Trade Value Shares
Change 		Change in
Stake
PI
1
PFG Investments
New York
$758K +$871K +201,000 New
Bank of America
2
Bank of America
North Carolina
$756K +$869K +200,656 New
Marshall Wace
3
Marshall Wace
United Kingdom
$755K +$868K +200,359 New
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$648K +$745K +171,961 New
IWC
5
Integrated Wealth Concepts
Massachusetts
$327K +$376K +86,815 New
VFIC
6
Valley Forge Investment Consultants
Pennsylvania
$293K +$337K +77,698 New
Bank of Montreal
7
Bank of Montreal
Ontario, Canada
$237K +$272K +62,900 New
CAPTRUST Financial Advisors
8
CAPTRUST Financial Advisors
North Carolina
$235K +$270K +62,367 New
UBS Group
9
UBS Group
Switzerland
$232K +$266K +61,517 New
Osaic Holdings
10
Osaic Holdings
Arizona
$151K +$173K +39,991 New
PFGIA
11
Patriot Financial Group Insurance Agency
Massachusetts
$139K +$160K +37,000 New
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$126K +$144K +33,350 New
Cetera Investment Advisers
13
Cetera Investment Advisers
Illinois
$118K +$136K +31,400 New
MCWS
14
McKinley Carter Wealth Services
West Virginia
$116K +$134K +30,892 New
TWC
15
TD Waterhouse Canada
Ontario, Canada
$103K +$103K +23,800 New
TCM
16
Traynor Capital Management
Pennsylvania
$95.1K +$110K +25,500 New
BB
17
Busey Bank
Illinois
$94.3K +$108K +25,000 New
SI
18
Sprott Inc
Ontario, Canada
$94.3K +$108K +25,000 New
LWM
19
Liberty Wealth Management
California
$82.9K +$95.3K +22,000 New
HF
20
HRT Financial
New York
$80K +$92.6K +21,366 New
GVAG
21
Great Valley Advisor Group
Delaware
$79.2K +$91K +21,000 New
AIP
22
Almanack Investment Partners
Pennsylvania
$78.9K +$90.6K +20,925 New
JP Morgan Chase
23
JP Morgan Chase
New York
$78.6K +$58.3K +13,462 New
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$75.4K +$86.6K +20,000 New
AAP
25
Arax Advisory Partners
Colorado
$68K +$78.1K +18,028 New
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