How many institutions held AAOI - APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 in Q4 2016?

110 institutional investors reported AAOI - APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 for Q4 2016. Use the holders table for investor-level position and value details.

APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 (AAOI)

Q: What does CUSIP 03823U102 represent in this 13F holders report?

CUSIP 03823U102 is the security identifier for AAOI - APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 used to aggregate holder disclosures.

CUSIP: 03823U102

Q4 2016 13F Holders as of 31 Dec 2016

Security type / class: Equity / Common Stock, par value $0.001
Total 13F shares: 13,466,074
Total 13F value: $315,856,406
Share change: +696,969
Put/Call ratio: 242%
SEC-reported price per share: $23.44
Number of holders: 110
Value change: +$17,349,190
Number of buys: 64
Number of sells: 52
Shares outstanding: 80,112,357

Security key

03823U102

Report period

Q4 2016

Institutions

110

Top holders

AAOI full security history Ownership snapshot Full 13F holder table Newer quarter: Q1 2017 Previous quarter: Q3 2016 APPLIED OPTOELECTRONICS, INC. SEC filings APPLIED OPTOELECTRONICS, INC. company facts

Broader feeds

Latest 13F filings Latest 13D/G filings Investors directory

Reporting periods

Holder history for CUSIP 03823U102

Newer quarter: Q1 2017 Previous quarter: Q3 2016

Recent filing periods:

Q2 2026 Q1 2026 Q4 2025 Q3 2025 Q2 2025 Q1 2025 Q4 2024 Q3 2024

Ownership snapshot

Top reported holders of AAOI - APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.

Comparable stake leader

WELLINGTON MANAGEMENT GRO...

Disclosed value leader

WELLINGTON MANAGEMENT GRO...

Comparable rows

15/15

Latest evidence

30 Sep 2016

13F Lead comparable stake: 2.4% Showing 1-6 of 15 holder rows.

Quick read

WELLINGTON MANAGEMENT GROUP LLP leads the comparable SEC ownership view at 2.4%.

15 of 15 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.

Open SEC evidence Opens WELLINGTON MANAGEMENT GROUP LLP's linked filing trail.

Comparable ownership Top 5

WELLINGTON MANAGEMENT GROUP LLP 2.4%

Trafelet Capital Management, L.P. 1.3%

KENNEDY CAPITAL MANAGEMENT LLC 0.91%

Whale Rock Capital Management LLC 0.82%

VANGUARD GROUP INC 0.74%

Ownership % is shown only when SEC disclosures are safely comparable across share classes.

Detailed SEC evidence table Showing 1-6 of 15 holder rows

Holder	Evidence	Ownership %	Position	12M Net Δ	As of
WELLINGTON MANAGEMENT GROUP LLP	13F Company 13F	2.4%	$42,489,000 1,913,078 shares	—	30 Sep 2016
Trafelet Capital Management, L.P.	13F Company 13F	1.3%	$22,846,000 1,028,635 shares	—	30 Sep 2016
KENNEDY CAPITAL MANAGEMENT LLC	13F Company 13F	0.91%	$16,141,000 726,747 shares	—	30 Sep 2016
Whale Rock Capital Management LLC	13F Company 13F	0.82%	$14,646,000 659,431 shares	—	30 Sep 2016
VANGUARD GROUP INC	13F Company 13F	0.74%	$13,131,000 591,195 shares	—	30 Sep 2016
ROYCE & ASSOCIATES LP	13F Company 13F	0.6%	$10,718,000 482,585 shares	—	30 Sep 2016

How to read this table

Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.

13F holder rows

Institutional holders as of Q4 2016

Investor-level positions for this CUSIP, loaded as an interactive table.

Institutions

110

13,466,074

Rows available

110

Investor	Option	Weight %	Change %	SEC-reported value	* Price	Shares	Share Change	Activity	Report Period

^* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.

Compare Q4 2016 vs Q3 2016 Across Filers

Q3 2016 holders

Q4 2016 holders

110

Holder diff

Investor	Q3 2016 Shares	Q4 2016 Shares	Share Diff	Share Chg %	Q3 2016 value	Q4 2016 value	Value change	Value Chg %

Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).

Quarterly Holders Trend

Quarterly Value Trend

Quarterly Shares Trend