Security key
03823U102
APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 (AAOI)
CUSIP: 03823U102
Q4 2020 13F Holders as of 31 Dec 2020
- Type / Class
- Equity / Common Stock, par value $0.001
- Shares outstanding
- 80,112,357
- Total 13F shares
- 11,204,260
- Share change
- +276,092
- Total reported value
- $95,352,448
- Put/Call ratio
- 107%
- Price per share
- $8.51
- Number of holders
- 95
- Value change
- -$568,601
- Number of buys
- 46
- Number of sells
- 50
Report period
Q4 2020
Institutions
95
Top holders
10
AAOI full security history
Newer quarter: Q1 2021
Previous quarter: Q3 2020
APPLIED OPTOELECTRONICS, INC. SEC filings
APPLIED OPTOELECTRONICS, INC. company facts
Broader feeds
Reporting periods
Holder history for CUSIP 03823U102
Recent filing periods:
Top shareholders 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. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: 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.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| BlackRock Finance, Inc. |
13F
|
Company |
4.2%
|
3,339,133
|
$37,566,000 | — | 30 Sep 2020 | |
| VANGUARD GROUP INC |
13F
|
Company |
1.8%
|
1,463,109
|
$16,460,000 | — | 30 Sep 2020 | |
| STATE STREET CORP |
13F
|
Company |
0.76%
|
605,852
|
$6,816,000 | — | 30 Sep 2020 | |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP |
13F
|
Company |
0.56%
|
450,160
|
$5,064,000 | — | 30 Sep 2020 | |
| ARROWSTREET CAPITAL, LIMITED PARTNERSHIP |
13F
|
Company |
0.47%
|
373,911
|
$4,206,000 | — | 30 Sep 2020 | |
| DIMENSIONAL FUND ADVISORS LP |
13F
|
Company |
0.42%
|
340,016
|
$3,825,000 | — | 30 Sep 2020 | |
| Newtyn Management, LLC |
13F
|
Company |
0.39%
|
316,050
|
$3,556,000 | — | 30 Sep 2020 | |
| MORGAN STANLEY |
13F
|
Company |
0.38%
|
301,804
|
$3,395,000 | — | 30 Sep 2020 | |
| GEODE CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.37%
|
296,678
|
$3,337,000 | — | 30 Sep 2020 | |
| NORTHERN TRUST CORP |
13F
|
Company |
0.34%
|
276,183
|
$3,107,000 | — | 30 Sep 2020 | |
| Weiss Multi-Strategy Advisers LLC |
13F
|
Company |
0.25%
|
200,394
|
$2,254,000 | — | 30 Sep 2020 | |
| Bank of New York Mellon Corp |
13F
|
Company |
0.25%
|
197,880
|
$2,226,000 | — | 30 Sep 2020 | |
| Invesco Ltd. |
13F
|
Company |
0.21%
|
168,871
|
$1,900,000 | — | 30 Sep 2020 | |
| GOLDMAN SACHS GROUP INC |
13F
|
Company |
0.2%
|
157,428
|
$1,772,000 | — | 30 Sep 2020 | |
| PRINCIPAL FINANCIAL GROUP INC |
13F
|
Company |
0.19%
|
149,866
|
$1,686,000 | — | 30 Sep 2020 | |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC |
13F
|
Company |
0.17%
|
136,588
|
$1,537,000 | — | 30 Sep 2020 | |
| Worth Venture Partners, LLC |
13F
|
Company |
0.16%
|
132,017
|
$1,485,000 | — | 30 Sep 2020 | |
| D. E. Shaw & Co., Inc. |
13F
|
Company |
0.15%
|
123,693
|
$1,391,000 | — | 30 Sep 2020 | |
| Nuveen Asset Management, LLC |
13F
|
Company |
0.13%
|
102,325
|
$1,151,000 | — | 30 Sep 2020 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.12%
|
95,961
|
$1,079,000 | — | 30 Sep 2020 | |
| CITADEL ADVISORS LLC |
13F
|
Company |
0.12%
|
94,092
|
$1,059,000 | — | 30 Sep 2020 | |
| PDT Partners, LLC |
13F
|
Company |
0.1%
|
80,602
|
$907,000 | — | 30 Sep 2020 | |
| RHUMBLINE ADVISERS |
13F
|
Company |
0.08%
|
61,743
|
$695,000 | — | 30 Sep 2020 | |
| TWO SIGMA INVESTMENTS, LP |
13F
|
Company |
0.08%
|
60,978
|
$686,000 | — | 30 Sep 2020 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.08%
|
60,906
|
$685,000 | — | 30 Sep 2020 | |
| DEUTSCHE BANK AG\ |
13F
|
Company |
0.07%
|
59,095
|
$665,000 | — | 30 Sep 2020 | |
| Legal & General Group Plc |
13F
|
Company |
0.07%
|
57,732
|
$649,000 | — | 30 Sep 2020 | |
| TWO SIGMA ADVISERS, LP |
13F
|
Company |
0.07%
|
57,000
|
$641,000 | — | 30 Sep 2020 | |
| BARCLAYS PLC |
13F
|
Company |
0.06%
|
51,894
|
$584,000 | — | 30 Sep 2020 | |
| Squarepoint Ops LLC |
13F
|
Company |
0.06%
|
49,478
|
$557,000 | — | 30 Sep 2020 | |
| PUBLIC SECTOR PENSION INVESTMENT BOARD |
13F
|
Company |
0.06%
|
46,385
|
$522,000 | — | 30 Sep 2020 | |
| AXA S.A. |
13F
|
Company |
0.06%
|
45,100
|
$507,000 | — | 30 Sep 2020 | |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM |
13F
|
Company |
0.06%
|
44,900
|
$505,000 | — | 30 Sep 2020 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.06%
|
44,597
|
$503,000 | — | 30 Sep 2020 | |
| Engineers Gate Manager LP |
13F
|
Company |
0.05%
|
43,741
|
$492,000 | — | 30 Sep 2020 | |
| JANE STREET GROUP, LLC |
13F
|
Company |
0.05%
|
39,661
|
$446,000 | — | 30 Sep 2020 | |
| Ensign Peak Advisors, Inc |
13F
|
Company |
0.05%
|
37,985
|
$427,000 | — | 30 Sep 2020 | |
| HSBC HOLDINGS PLC |
13F
|
Company |
0.04%
|
35,052
|
$400,000 | — | 30 Sep 2020 | |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM |
13F
|
Company |
0.04%
|
32,737
|
$368,000 | — | 30 Sep 2020 | |
| QS Investors, LLC |
13F
|
Company |
0.04%
|
32,500
|
$366,000 | — | 30 Sep 2020 | |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC |
13F
|
Company |
0.03%
|
25,173
|
$283,000 | — | 30 Sep 2020 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.03%
|
24,229
|
$273,000 | — | 30 Sep 2020 | |
| ALLIANCEBERNSTEIN L.P. |
13F
|
Company |
0.03%
|
24,080
|
$271,000 | — | 30 Sep 2020 | |
| PRUDENTIAL FINANCIAL INC |
13F
|
Company |
0.03%
|
23,760
|
$267,000 | — | 30 Sep 2020 | |
| York State Teachers Retirement System New |
13F
|
Individual |
0.03%
|
23,408
|
$263,000 | — | 30 Sep 2020 | |
| TUDOR INVESTMENT CORP ET AL |
13F
|
Company |
0.03%
|
22,221
|
$250,000 | — | 30 Sep 2020 | |
| COMERICA BANK |
13F
|
Company |
0.03%
|
21,539
|
$219,000 | — | 30 Sep 2020 | |
| CANADA LIFE ASSURANCE Co |
13F
|
Company |
0.03%
|
20,969
|
$235,000 | — | 30 Sep 2020 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.03%
|
20,963
|
$236,000 | — | 30 Sep 2020 | |
| American Portfolios Advisors |
13F
|
Company |
0.02%
|
20,025
|
$225,281 | — | 30 Sep 2020 |
Institutional Holders of APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 (AAOI) as of Q4 2020
As of 31 Dec 2020,
APPLIED OPTOELECTRONICS, INC. - Common Stock, par value $0.001 (AAOI) was held by
95 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
11,204,260 shares.
The largest 10 holders included
BlackRock Inc., VANGUARD GROUP INC, STATE STREET CORP, MORGAN STANLEY, SUSQUEHANNA INTERNATIONAL GROUP, LLP, DIMENSIONAL FUND ADVISORS LP, GEODE CAPITAL MANAGEMENT, LLC, Newtyn Management, LLC, Kovack Advisors, Inc., and NORTHERN TRUST CORP.
This page lists
95
institutional shareholders reporting positions in this security
for the Q4 2020 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2020 vs Q3 2020 Across Filers
Q3 2020 holders
100
Q4 2020 holders
95
Holder diff
-5
| Investor | Q3 2020 Shares | Q4 2020 Shares | Share Diff | Share Chg % | Q3 2020 Value $ | Q4 2020 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.