Avid Bioservices Inc (CDMO)

[cjgaddy]

Total INST.+LARGE Holdings now 41,617,965 73.5% (9-30-20)
Up from 38,627,460 68.4% at 6-30-20.

33,031,973 47.9% INSTITUTIONS (a/o 9-30-20)
https://www.nasdaq.com/symbol/cdmo/institutional-holdings
+ 8,585,992 15.2% LARGE SHAREHOLDERS via Forms13/14 (EasternCap/Dart8-2019, Tappan/12-2019) – ie, not in Nasdaq Inst. List.
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= 41,617,965 73.5%
Ownership %’s based on 56,602,792 shares O/S at 8-24-20 (10Q: https://tinyurl.com/y5puv3b7 )

13 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): 3,834,816 6.8% (-111,172 a/o 9-30-20 Nasdaq Inst.)
4. IsZo Capital Mgt. (Brian Sheehy): 3,459,888 6.1% (-88,144 a/o 9-30-20 Nasdaq Inst.)
5. Millennium Mgt. 2,678,984 4.7% (+633,918 a/o 9-30-20 Nasdaq Inst.)
6. Vanguard Group 2,659,738 4.7% (-19,553 q/e 9-30-20 Nasdaq Inst.)
7. Snyder Capital 2,302,621 4.1% (-2,258 a/o 9-30-20 Nasdaq Inst.)
8. Altravue Capital 1,973,349 3.5% (+39,534 a/o 9-30-20 Nasdaq Inst.)
9. Wellington Mgt. 1,503,162 2.7% (+236,947 a/o 9-30-20 Nasdaq Inst.)
10. Sargent Invest. Grp. 1,052,099 1.9% (-11,000 a/o 9-30-20 Nasdaq Inst.)
11. State Street 992,280 1.8% (-65,922 a/o 9-30-20 Nasdaq Inst.)
12. Portolan Capital 963,374 1.7% (+528,662 a/o 9-30-20 Nasdaq Inst.)
13. Silvercrest Asset Mgt. 878,805 1.6% (-16,746 a/o 9-30-20 Nasdaq Inst.)

BIGGEST DROPS q/e 9-30-20:
Oxford Asset Mgt. -264,077
Kennedy Capital -234,631
= = = = = = = = = = = =
Shares O/S as of 8-24-20=56,602,792 - history since 4-2006: https://tinyurl.com/y329llow (at bottom)
...A/O 7-31-20: 3,616,000 stock options outstanding at a wgt.avg. exercise price of $6.36 (pg.12 10Q).
9-1-20: Qtly. Conf. Call (Green/Hart/Compton) PR & Transcript https://tinyurl.com/y329llow