Avid Bioservices Inc (CDMO)

[cjgaddy]

Prev. post updated with final 9-30-17 Nasdaq INST-Holdings

11-15-17: Updated Nasdaq INST.HOLDINGS: 8,375,487 at 9-30-17, up from 6,834,425 at 6-30-17. Add in Tappan’s 11-13-17 13G(trans. 11-6-17) +1,044,611 adds after 9-30-17, and total INST. now 9,420,098 (20.5%).

= = = = = = = = =
11-13-17: Large Ownership Summary(40.0%) - now 18,046,979shs., 40.0% of 45,096,081 O/S at 9-6-17.
(Ronin+SW/Stafford+Farley+White, Eastern Cap./K.Dart, Institutions incl. Tappan’s 11-13-17/13G)

#1: 10-27-17/PR: Group Ronin Trading/SWInvest (John Stafford III+R.Farley+Stephen White) now has 9.6% stake (4,325,889sh.) in PPHM
...4,173,391 COMMON – 9.3% of 45,096,081 common O/S at 9-6-17 (total beneficial=4,325,889 if Pref. conv. x1.1905 to Common)
...128,099 PREFERRED – 7.8% of 1,647,760 preferred O/S at 7-31-17
NOTE: ALL historical common #’s adjusted for the 1:7 R/S eff. 7-10-17.

#2: 10-30-15: Kenneth Dart (Eastern Capital) acquires 9.5% stake (4,300,992sh.) in PPHM http://tinyurl.com/y95yskck
...3,777,183 COMMON – 8.4% of 45,096,081 common O/S at 9-6-17 (total beneficial=4,300,992 if Pref. conv. x1.1905 to Common, 9.5%)
...440,000 PREFERRED – 26.7% of 1,647,760 preferred O/S at 7-31-17

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