Avid Bioservices Inc (CDMO)

[cjgaddy]

Total INST.+LARGE Holdings now 38,627,460 68.4% (6-30-20*)
Up from 36,882,771 65.3% at 3-31-20.

27,049,083 47.9% INSTITUTIONS (a/o 6-30-20*)
https://www.nasdaq.com/symbol/cdmo/institutional-holdings
+ 11,578,377 20.5% LARGE SHAREHOLDERS via Forms13/14 (EasternCap/Dart8-2019, Tappan/12-2019, Millennium/7-2020) – ie, not in Nasdaq Inst. List.
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= 38,627,460 68.4%
NOTE1: *Except I picked up Millennium’s 7-15-20 13G +947,319, moving them to 5.3%.
NOTE2: I pulled 2,045,066/Millennium from 6-30-20 Nasdaq Inst. since now 13G/5.3%, so not double-counted (29,094,149 – 2,045,066).
Ownership %’s based on 56,511,294 shares O/S at 6-19-20 (10K: https://tinyurl.com/yak25nco )

12 LARGEST SHAREHOLDERS:
1. Eastern Capital (Kenneth Dart): 4,300,992 7.6% (a/o 8-21-19 14A/Proxy: https://tinyurl.com/y9c972fa – orig. 13G filed 11-2015)
2. Tappan Street (Prasad Phatak): 4,285,000 7.6% (a/o 12-31-19 13G: https://tinyurl.com/wlcwnnv )
3. Blackrock Inc. (Larry Fink): 3,945,988 7.0% (+64,467 a/o 6-30-20 Nasdaq Inst.)
4. IsZo Capital Mgt. (Brian Sheehy): 3,548,032 6.3% (-2,097,669 a/o 6-30-20 Nasdaq Inst.)
5. Millennium Mgt. 2,992,385 5.3% (+2,292,216 a/o 7-15-20 13G: https://tinyurl.com/yydztxkv ; 6-30-20Naz=2,045,066)
6. Vanguard Group 2,679,291 4.7% (+41,246 q/e 6-30-20 Nasdaq Inst.)
7. Snyder Capital 2,304,879 4.2% (+23,974 a/o 6-30-20 Nasdaq Inst.)
8. Altravue Capital 1,933,815 3.4% (-16,540 a/o 6-30-20 Nasdaq Inst.)
9. Wellington Mgt. 1,266,215 2.2% (+561,300 a/o 6-30-20 Nasdaq Inst.)
10. Sargent Invest. Grp. 1,063,099 1.9% (-102,898 a/o 6-30-20 Nasdaq Inst.)
11. State Street 1,058,202 1.9% (+19,529 a/o 6-30-20 Nasdaq Inst.)
12. Silvercrest Asset Mgt. 895,551 1.6% (+159,408 a/o 6-30-20 Nasdaq Inst.)

BIGGEST DROPS q/e 6-30-20:
IsZo Capital Mgt. -2,097,669
Essex Invest. Mgt. -142,763
Sargent Invest. Grp. -102,898
= = = = = = = = = = = =
Shares O/S as of 6-19-20=56,511,294 - history since 4-2006: https://tinyurl.com/yak25nco (at bottom)
...A/O 4-30-20: 1,530,000 stock options outstanding at a wgt.avg. exercise price of $6.77 (pg.50 10K).
6-30-20: Qtly. Conf. Call (Hancock/Hart/Compton) PR & Transcript https://tinyurl.com/y9zbgmos