| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-18 | 2009-09-30 | 13F-HR | Jane Street Holding Llc | Institution | | Sold All | -16,816 | -100 % | | | | 1.07 % | $-1,345 | | | | | | News Article | History of Jane Street Holding Llc Ownership Of The9 Ltd |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Amvescap Plc | Institution | 68,982 | Sold Some | -7,968 | -10.35 % | $509,777 | $516,675 | $6,898 | 1.35 % | $-797 | | | | | | News Article | History of Amvescap Plc Ownership Of The9 Ltd |
| 2009-11-17 | 2009-09-30 | 13F-HR | Wells Fargo And Co | Institution | 2,805 | New Holding | 2,805 | 100 % | $20,729 | $21,009 | $281 | 1.35 % | $281 | | | | | | News Article | History of Wells Fargo And Co Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | American International Group Inc | Institution | | Sold All | -500 | -100 % | | | | 1.07 % | $-40 | | | | | | News Article | History of American International Group Inc Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Chinarock Capital Management Ltd | Institution | 250,000 | New Holding | 250,000 | 100 % | $1,852,500 | $1,872,500 | $20,000 | 1.07 % | $20,000 | | | | | | News Article | History of Chinarock Capital Management Ltd Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Millennium Management Llc | Institution | | Sold All | -85,873 | -100 % | | | | 1.07 % | $-6,870 | | | | | | News Article | History of Millennium Management Llc Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 190,623 | New Holding | 190,623 | 100 % | $1,412,516 | $1,427,766 | $15,250 | 1.07 % | $15,250 | | | | | | News Article | History of Morgan Stanley Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Palo Alto Investors Llc | Institution | | Sold All | -1,105,466 | -100 % | | | | 1.07 % | $-88,437 | | | | | | News Article | History of Palo Alto Investors Llc Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Qvt Financial Lp | Institution | 1,215,588 | No Change | 0 | 0 % | $9,007,507 | $9,104,754 | $97,247 | 1.07 % | $0 | | | | | | News Article | History of Qvt Financial Lp Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Rbc Dominion Securities Inc | Institution | 1,560 | Sold Some | -697 | -30.88 % | $11,560 | $11,684 | $125 | 1.07 % | $-56 | | | | | | News Article | History of Rbc Dominion Securities Inc Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Shaw D E And Co Inc | Institution | 60,809 | New Holding | 60,809 | 100 % | $450,595 | $455,459 | $4,865 | 1.07 % | $4,865 | | | | | | News Article | History of Shaw D E And Co Inc Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Two Sigma Investments Llc | Institution | 15,759 | New Holding | 15,759 | 100 % | $116,774 | $118,035 | $1,261 | 1.07 % | $1,261 | | | | | | News Article | History of Two Sigma Investments Llc Ownership Of The9 Ltd |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wellington Management Co Llp | Institution | 210,900 | No Change | 0 | 0 % | $1,562,769 | $1,579,641 | $16,872 | 1.07 % | $0 | | | | | | News Article | History of Wellington Management Co Llp Ownership Of The9 Ltd |
| 2009-11-13 | 2009-10-31 | 13F-HR | Peak6 Investments L P | Institution | 29,680 | Added More | 15,742 | 112.94 % | $220,819 | $222,303 | $1,484 | 0.67 % | $787 | | | | | | News Article | History of Peak6 Investments L P Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ameriprise Financial Inc | Institution | 100 | No Change | 0 | 0 % | $744 | $749 | $5 | 0.67 % | $0 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 52,117 | Sold Some | -4,149 | -7.37 % | $387,750 | $390,356 | $2,606 | 0.67 % | $-207 | | | | | | News Article | History of Barclays Plc Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Cavalry Asset Management Lp | Institution | 341,031 | Sold Some | -300,549 | -46.84 % | $2,537,271 | $2,554,322 | $17,052 | 0.67 % | $-15,027 | | | | | | News Article | History of Cavalry Asset Management Lp Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 23,365 | Sold Some | -21,845 | -48.31 % | $173,836 | $175,004 | $1,168 | 0.67 % | $-1,092 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Knight Capital Group Inc | Institution | | Sold All | -14,411 | -100 % | | | | 0.67 % | $-721 | | | | | | News Article | History of Knight Capital Group Inc Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Lindvall Capital Management Llc | Institution | 80,000 | No Change | 0 | 0 % | $595,200 | $599,200 | $4,000 | 0.67 % | $0 | | | | | | News Article | History of Lindvall Capital Management Llc Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Martin Currie Inc | Institution | 1,281,280 | Added More | 379,830 | 42.13 % | $9,532,723 | $9,596,787 | $64,064 | 0.67 % | $18,992 | | | | | | News Article | History of Martin Currie Inc Ownership Of The9 Ltd |
| 2009-11-13 | 2009-09-30 | 13F-HR | Renaissance Technologies Corp | Institution | 323,499 | Added More | 50,700 | 18.58 % | $2,406,833 | $2,423,008 | $16,175 | 0.67 % | $2,535 | | | | | | News Article | History of Renaissance Technologies Corp Ownership Of The9 Ltd |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | | Sold All | -3,000 | -100 % | | | | -0.92 % | $210 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of The9 Ltd |
| 2009-11-12 | 2009-09-30 | 13F-HR | Claymore Advisors Llc | Institution | 12,173 | New Holding | 12,173 | 100 % | $92,028 | $91,176 | $-852 | -0.92 % | $-852 | | | | | | News Article | History of Claymore Advisors Llc Ownership Of The9 Ltd |
| 2009-11-12 | 2009-09-30 | 13F-HR | Credit Suisse | Institution | 200 | New Holding | 200 | 100 % | $1,512 | $1,498 | $-14 | -0.92 % | $-14 | | | | | | News Article | History of Credit Suisse Ownership Of The9 Ltd |
| 2009-11-12 | 2009-09-30 | 13F-HR | Oshaughnessy Asset Management Llc | Institution | 5,270 | Sold Some | -11,853 | -69.22 % | $39,841 | $39,472 | $-369 | -0.92 % | $830 | | | | | | News Article | History of Oshaughnessy Asset Management Llc Ownership Of The9 Ltd |
| 2009-11-12 | 2009-09-30 | 13F-HR | Primecap Management Co | Institution | 36,000 | No Change | 0 | 0 % | $272,160 | $269,640 | $-2,520 | -0.92 % | $0 | | | | | | News Article | History of Primecap Management Co Ownership Of The9 Ltd |
| 2009-11-12 | 2009-09-30 | 13F-HR | Susquehanna International Group Llp | Institution | 13,237 | Added More | 11,976 | 949.72 % | $100,072 | $99,145 | $-927 | -0.92 % | $-838 | | | | | | News Article | History of Susquehanna International Group Llp Ownership Of The9 Ltd |
| 2009-11-10 | 2009-09-30 | 13F-HR | Royce And Associates Llc | Institution | 13,300 | Added More | 3,700 | 38.54 % | $101,878 | $99,617 | $-2,261 | -2.21 % | $-629 | | | | | | News Article | History of Royce And Associates Llc Ownership Of The9 Ltd |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 7,096 | Sold Some | -678 | -8.72 % | $54,355 | $53,149 | $-1,206 | -2.21 % | $115 | | | | | | News Article | History of Ubs Ag Ownership Of The9 Ltd |
| 2009-11-06 | 2009-09-30 | 13F-HR | Deere And Co | Institution | 33,782 | Sold Some | -11,463 | -25.33 % | $268,229 | $253,027 | $-15,202 | -5.66 % | $5,158 | | | | | | News Article | History of Deere And Co Ownership Of The9 Ltd |
| 2009-11-05 | 2009-09-30 | 13F-HR | Fixed Income Securities Lp | Institution | 1,777 | Sold Some | -159 | -8.21 % | $14,287 | $13,310 | $-977 | -6.84 % | $87 | | | | | | News Article | History of Fixed Income Securities Lp Ownership Of The9 Ltd |
| 2009-11-04 | 2009-09-30 | 13F-HR | Geewax Plus Partners Llc | Institution | | Sold All | -500 | -100 % | | | | -7.64 % | $310 | | | | | | News Article | History of Geewax Plus Partners Llc Ownership Of The9 Ltd |
| 2009-10-26 | 2009-06-30 | 13F-HR/A | Ameriprise Financial Inc | Institution | 100 | No Change | 0 | 0 % | $805 | $749 | $-56 | -6.95 % | $0 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of The9 Ltd |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio | Small-Cap Growth | 214 | New Holding | 214 | 100 % | $1,671 | $1,603 | $-68 | -4.09 % | $-68 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio Ownership Of The9 Ltd |
| 2009-09-11 | 2009-06-30 | 13F-HR/A | Barclays Global Investors Uk Holdings Ltd | Institution | 3,000 | No Change | 0 | 0 % | $24,480 | $22,470 | $-2,010 | -8.21 % | $0 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of The9 Ltd |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Amvescap Plc | Institution | 76,950 | Sold Some | -102,174 | -57.04 % | $566,352 | $576,356 | $10,004 | 1.76 % | $-13,283 | | | | | | News Article | History of Amvescap Plc Ownership Of The9 Ltd |
| 2009-08-31 | 2009-06-30 | N-Q | Streettracks Index Shares Funds - Spdr Japan Etf | Japanese | | Sold All | -2,400 | -100 % | | | | -0.13 % | $24 | | | | | | News Article | History of Streettracks Index Shares Funds - Spdr Japan Etf Ownership Of The9 Ltd |
| 2009-08-28 | 2009-06-30 | 13F-HR/A | Wells Fargo And Co | Institution | | Sold All | -300 | -100 % | | | | -8.76 % | $216 | | | | | | News Article | History of Wells Fargo And Co Ownership Of The9 Ltd |
| 2009-08-20 | 2009-06-30 | 13F-HR/A | Lindvall Capital Management Llc | Institution | 80,000 | No Change | 0 | 0 % | $684,000 | $599,200 | $-84,800 | -12.39 % | $0 | | | | | | News Article | History of Lindvall Capital Management Llc Ownership Of The9 Ltd |
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