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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/14/2024 | ARCHON CAPITAL MANAGEMENT LLC | 12.55 M | $4.33 M | 65.14% | 141.06% |
| 05/15/2024 | PENN CAPITAL MANAGEMENT COMPANY, LLC | 4.23 M | $1.46 M | 19.47% | 47.53% |
| 05/15/2024 | ELEQUIN SECURITIES, LLC | 4.23 M | $1.46 M | 100.00% | 47.53% |
| 05/13/2024 | NEUBERGER BERMAN GROUP LLC | 2.41 M | $839,421 | 3.13% | 27.07% |
| 05/09/2024 | PERKINS CAPITAL MANAGEMENT INC | 2.31 M | $797,000 | -1.07% | 25.97% |
| 05/10/2024 | VANGUARD GROUP INC | 2.26 M | $777,995 | -0.05% | 25.34% |
| 05/14/2024 | PALOGIC VALUE MANAGEMENT, L.P. | 1.00 M | $345,000 | 0.00% | 11.24% |
| 05/10/2024 | AEGIS FINANCIAL CORP | 997,006 | $343,967 | 0.00% | 11.20% |
| 05/13/2024 | RENAISSANCE TECHNOLOGIES LLC | 959,497 | $331,000 | 5.57% | 10.78% |
| 04/19/2024 | KOVACK ADVISORS, INC. | 887,400 | $306,153 | 10.33% | 9.97% |
| 05/13/2024 | GEODE CAPITAL MANAGEMENT, LLC | 631,909 | $218,054 | 10.59% | 7.10% |
| 05/10/2024 | BLACKROCK INC. | 621,625 | $214,461 | 0.87% | 6.99% |
| 05/13/2024 | ROYCE & ASSOCIATES LP | 263,400 | $90,873 | -66.59% | 2.96% |
| 05/15/2024 | TWO SIGMA INVESTMENTS, LP | 201,002 | $69,346 | -30.44% | 2.26% |
| 05/14/2024 | NORTHERN TRUST CORP | 174,034 | $60,042 | 48.18% | 1.96% |
| 05/15/2024 | STATE STREET CORP | 160,717 | $55,447 | 0.00% | 1.81% |
| 04/25/2024 | BANK OF NEW YORK MELLON CORP | 154,611 | $53,341 | 0.00% | 1.74% |
| 05/15/2024 | TWO SIGMA ADVISERS, LP | 150,525 | $51,931 | -48.40% | 1.69% |
| 05/15/2024 | CITADEL ADVISORS LLC | 145,432 | $50,174 | 358.73% | 1.63% |
| 05/16/2024 | JANE STREET GROUP, LLC | 100,408 | $34,641 | 490.22% | 1.13% |
| 04/29/2024 | CAPROCK GROUP, LLC | 60,000 | $20,700 | 100.00% | 0.67% |
| 04/30/2024 | CHAI TRUST CO LLC | 50,000 | $17,250 | 0.00% | 0.56% |
| 05/15/2024 | ENGINEERS GATE MANAGER LP | 40,822 | $14,084 | 0.00% | 0.46% |
| 05/13/2024 | UBS GROUP AG | 38,304 | $13,216 | 1,915,100.00% | 0.43% |
| 05/15/2024 | MILLENNIUM MANAGEMENT LLC | 32,041 | $11,054 | -77.59% | 0.36% |
| 05/13/2024 | XTX TOPCO LTD | 30,641 | $10,571 | 45.94% | 0.34% |
| 05/16/2024 | TOROSO INVESTMENTS, LLC | 24,505 | $8,454 | 100.00% | 0.28% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 21,126 | $7,288 | 0.00% | 0.24% |
| 04/24/2024 | NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | 20,030 | $6,910 | 345.11% | 0.23% |
| 05/15/2024 | TOWER RESEARCH CAPITAL LLC (TRC) | 19,952 | $6,883 | 23.83% | 0.22% |
| 05/08/2024 | RUSSELL INVESTMENTS GROUP, LTD. | 19,600 | $6,762 | 0.00% | 0.22% |
| 05/07/2024 | SEI INVESTMENTS CO | 18,588 | $6,380 | 9.11% | 0.21% |
| 05/15/2024 | GOLDMAN SACHS GROUP INC | 17,915 | $61,807 | 0.35% | 0.20% |
| 04/18/2024 | SEACREST WEALTH MANAGEMENT, LLC | 14,770 | $5,096 | 100.00% | 0.17% |
| 05/15/2024 | TWO SIGMA SECURITIES, LLC | 11,784 | $4,065 | 100.00% | 0.13% |
| 05/15/2024 | MORGAN STANLEY | 3,597 | $1,241 | -23.89% | 0.04% |
| 05/16/2024 | COMERICA BANK | 1,976 | $682 | 10.33% | 0.02% |
| 05/09/2024 | RHUMBLINE ADVISERS | 1,680 | $579 | 0.00% | 0.02% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 1,537 | $531 | 49.51% | 0.02% |
| 05/15/2024 | FRG FAMILY WEALTH ADVISORS LLC | 1,000 | $2,710 | 100.00% | 0.01% |
| 05/10/2024 | JPMORGAN CHASE & CO | 744 | $257 | 6.90% | 0.01% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 515 | $180 | -18.90% | 0.01% |
| 05/10/2024 | PNC FINANCIAL SERVICES GROUP, INC. | 354 | $122 | 490.00% | 0.00% |
| 04/25/2024 | ALLWORTH FINANCIAL LP | 64 | $23 | 0.00% | 0.00% |
| 05/14/2024 | QUBE RESEARCH & TECHNOLOGIES LTD | 4 | $1 | 0.00% | 0.00% |
| 05/14/2024 | NEWEDGE ADVISORS, LLC | 2 | $1 | 0.00% | 0.00% |
| 05/15/2024 | PRICE T ROWE ASSOCIATES INC /MD/ | 0 | $0 | -100.00% | 0.00% |
| 05/10/2024 | DIMENSIONAL FUND ADVISORS LP | 0 | $0 | -100.00% | 0.00% |
| 05/15/2024 | MERCER GLOBAL ADVISORS INC /ADV | 0 | $0 | -100.00% | 0.00% |
| 04/11/2024 | KEMPNER CAPITAL MANAGEMENT INC. | 0 | $0 | -100.00% | 0.00% |
A. During the previous two years, 108 institutional investors and hedge funds held shares of EMCORE Corporation. The most heavily invested institutionals were:
Archon Capital Management LLC: 12.55 M
Penn Capital Management Company, LLC: 4.23 M
Elequin Securities, LLC: 4.23 M
Neuberger Berman Group LLC: 2.41 M
PERKINS CAPITAL MANAGEMENT INC: 2.31 M
VANGUARD GROUP INC: 2.26 M
A. 391.80% of EMCORE Corporation stock is owned by institutional investors.
A. Institutional investors have bought a total of 42.21 M shares in the last 24 months. This purchase volume represents approximately $48.12 M in transactions.
