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NIO

Name Holding Trade Value Shares
Change 		Change in
Stake
MIM
401
Monashee Investment Management
Massachusetts
– -$772K -100,000 Closed
Thrivent Financial for Lutherans
402
Thrivent Financial for Lutherans
Minnesota
– -$736K -95,336 Closed
MWA
403
Marshall Wace Asia
Hong Kong
– -$702K -90,988 Closed
NIT
404
NumerixS Investment Technologies
British Columbia, Canada
– -$645K -83,579 Closed
Calamos Advisors
405
Calamos Advisors
Illinois
– -$639K -82,800 Closed
MCP
406
Maso Capital Partners
Hong Kong
– -$556K -71,978 Closed
AG
407
AIA Group
Hong Kong
– -$456K -59,044 Closed
N
408
Natixis
France
– -$217K -28,163 Closed
CM
409
Caption Management
Oklahoma
– -$354K -23,000 Closed
SWP
410
Stratos Wealth Partners
Ohio
– -$175K -22,699 Closed
WS
411
Wedbush Securities
California
– -$155K -20,080 Closed
CWS
412
Cypress Wealth Services
California
– -$125K -16,250 Closed
FFS
413
Founders Financial Securities
Maryland
– -$183K -15,400 Closed
LFAS
414
Level Four Advisory Services
Texas
– -$119K -15,300 Closed
CAN
415
Claraphi Advisory Network
United States
– -$112K -14,550 Closed
ACA
416
Ascension Capital Advisors
Texas
– -$77K -10,000 Closed
BDS
417
Banco de Sabadell
Florida
– -$49K -6,500 Closed
MTCM
418
Mint Tower Capital Management
Netherlands
– -$49K -6,400 Closed
CAN
419
Cetera Advisor Networks
California
– -$30K -3,950 Closed
RWB
420
RMR Wealth Builders
New Jersey
– -$14K -1,750 Closed
SF
421
Synovus Financial
Georgia
– -$8K -1,000 Closed
RCA
422
Ranch Capital Advisors
Florida
– -$8K -600 Closed
PCA
423
Providence Capital Advisors
North Carolina
– -$4K -500 Closed
PFO
424
Pathstone Family Office
New Jersey
– -$3K -450 Closed
BWM
425
BerganKDV Wealth Management
Minnesota
– -$2K -200 Closed
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