Ownership Profile

Shareholder Breakdown
  Holders Values ($) % O/S Shares
Institution 38 10.29 12.25 3,688,810
Mutual Fund 3 1.97 2.26 680,983

Institutional Shareholder Rotation
  Holders Values Change ($) % O/S Shares Change
Buyers 12 1.70 2.01 605,384
Sellers 24 -10.51 12.24 -3,685,812
Net -- -8.81 10.23 -3,080,428

Institutional Shareholder Concentration
  Values ($) % O/S Shares
Top 10 Inst. 10 11.51 3,465,914
Top 20 Inst. 10.13 12.05 3,627,695
Top 50 Inst. 10.29 12.25 3,688,810
Total Inst. 10.29 12.25 3,688,810

Institutional Shareholder Style
  Holders Values ($) % O/S Shares
CoreGrowth 2 0 0.56 20,500
Growth 1 0 0.01 210
Yield 1 0 0.41 15,000
HedgeFund 6 3 27.32 995,371
BrokerDealer 8 0 2.55 92,799
GARP 1 0 0.01 500
DeepValue 1 0 0.15 5,600
CoreValue 1 0 0.12 4,473
Index 2 2 15.83 576,829

Top Holders: Institutional Investor
  Shares Held % O/S Shares Change Filing Date
Heights Capital Management, Inc. 1,581,277 5.25 -902,053 12/31/2016
The Vanguard Group, Inc. 565,630 1.88 116,520 12/31/2016
Sabby Management, LLC 496,729 1.65 -260,304 12/31/2016
Palo Alto Investors, LLC 247,000 0.82 0 12/31/2016
Sofinnova Management VIII, L.L.C. 200,000 0.66 200,000 12/31/2016
OxFORD Asset Management 175,198 0.58 175,198 12/31/2016
Squarepoint Ops LLC 88,600 0.29 88,600 12/31/2016
KCG Americas LLC 43,640 0.14 720 12/31/2016
Airain Ltd 35,697 0.12 -28,033 12/31/2016
Hudson Bay Capital Management LP 32,143 0.11 0 12/31/2016
Millennium Management LLC 23,200 0.08 -11,480 12/31/2016
Acrospire Investment Management LLC 21,101 0.07 400 12/31/2016
J.P. Morgan Securities LLC 17,953 0.06 -5,828 12/31/2016
Woods (Randall E) 17,500 0.06 0 02/29/2016
BNY Mellon Wealth Management 17,500 0.06 0 12/31/2016
Goldman Sachs & Company, Inc. 15,822 0.05 -10,659 12/31/2016
Cetera Advisor Networks LLC 15,000 0.05 0 12/31/2016
Heppell (James Leslie) 12,506 0.04 38 10/27/2016
Geode Capital Management, L.L.C. 11,199 0.04 0 12/31/2016
Proehl (Gerald T) 10,000 0.03 0 02/29/2016
Laurel Wealth Advisors, Inc. 10,000 0.03 10,000 12/31/2016
LPL Financial LLC 10,000 0.03 0 12/31/2016
UBS Securities LLC 9,346 0.03 5,346 12/31/2016
Creative Planning, Inc. 5,600 0.02 -19,600 12/31/2016
Slover (Peter T) 4,680 0.02 0 02/29/2016
RBC Phillips, Hager & North Investment Counsel Inc 4,473 0.01 -146 12/31/2016
BMO Capital Markets (US) 4,100 0.01 4,100 12/31/2016
Morgan Stanley Wealth Management 3,000 0.01 3,000 12/31/2016
Cutler Group, LP 2,900 0.01 1,400 12/31/2016
Edge Wealth Management LLC 2,000 0.01 0 12/31/2016
Wells Fargo Advisors 1,800 0.01 0 12/31/2016
RBC Dominion Securities, Inc. 1,448 0.00 0 12/31/2016
Ekman (Lars G) 520 0.00 0 02/29/2016
Financial Architects Inc. 500 0.00 0 12/31/2016
Jacobi Capital Management, LLC 400 0.00 0 12/31/2016
BMO Nesbitt Burns Inc. 210 0.00 0 12/31/2016
Simplex Trading, LLC 100 0.00 100 12/31/2016
Bank of America Merrill Lynch (US) 38 0.00 0 12/31/2016

Ownership data is provided by Thomson Reuters, a third party service, and Sophiris Bio Inc. does not maintain or provide information directly to this service.