Lianluo Smart

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Regulatory AUM vs AUM

Type	Result	AUM ($B)

Lianluo Smart
Ticker	LLIT
CIK #	0001474627
CUSIP	G5478K100
Sector	Life Sciences - Surgical & Medical Instruments & Apparatus
Address	No15 West 4th Ring North Road East Plaza, Room 908, Haidian District, Beijing, 100195
Source	[EDGAR]

CIK	Filing	2011 - 2025
[0001474627]	10-K
[0001474627]	10-Q
[0001474627]	6-K
[0001474627]	8-K
[0001474627]	D
[0001474627]	SC 13D
[0001474627]	SC 13G

Form 13D/13G Filer	Form 13D/13G Subject	Filed	% Owned
Intracoastal Capital LLC	Lianluo Smart Ltd	[2020-02-24]	0.99
Sabby Management LLC	Lianluo Smart Ltd	[2020-02-14]	0.96
Hangzhou Liaison Interactive Information Technology Co Ltd	Dehaier Medical Systems Ltd	[2016-08-23]	66.1

Form 13F Holdings
Firm	Period	DFND	Voting	Shares
HRT Financial LP	[2020-09-30]	DFND	0.2	0.2
UBS Group AG	[2020-09-30]	SOLE	0.1	0.1
Susquehanna International Group LLP	[2020-09-30]	DFND	0.0	0.0
Barclays PLC	[2020-09-30]	SOLE	0.0	0.0
Morgan Stanley	[2020-09-30]	DFND	0.0	0.0
IFP Advisors, Inc	[2020-09-30]	SOLE	0.0	0.0
Proequities Inc	[2020-09-30]	SOLE	0.0	0.0
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