Opus Point Partners Management, LLC Last Quarter Change: Foreign ADRs, Added

Opus Point Partners Management, LLC quarter change: Foreign ADRs, Added

In depositary receipts for foreign shares (depositary receipts and foreign shares traded over the counter), from the quarter ended 2016-06-30 to 2016-09-30, Opus Point Partners Management, LLC opened 0 positions, added to 2, reduced 0, sold out of 0 and left 0 unchanged. The largest increase in value was ASTRAZENECA PLC (+$665,000); the largest decrease was GLAXOSMITHKLINE PLC (+$421,000).

ASTRAZENECA PLC: Country of operation —; Class SPONSORED ADR; Shares 2016-06-30 108,563; Shares 2016-09-30 120,000.
GLAXOSMITHKLINE PLC: Country of operation —; Class SPONSORED ADR; Shares 2016-06-30 50,000; Shares 2016-09-30 60,000.

Two Form 13F-HR filings compared (SEC CIK 1600175): 2016-06-30 (filed 2016-08-15) and 2016-09-30 (filed 2016-11-14). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move; share change is the position change.

Stock	Country of operation	Class	Shares 2016-06-30	Shares 2016-09-30	Share change	Value 2016-06-30	Value 2016-09-30	Value change
ASTRAZENECA PLC CUSIP 046353108		SPONSORED ADR	108,563	120,000	+11,437	$3,278,000	$3,943,000	+$665,000
GLAXOSMITHKLINE PLC CUSIP 37733W105		SPONSORED ADR	50,000	60,000	+10,000	$2,167,000	$2,588,000	+$421,000

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