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Applied Optoelectronics
AAOI

95 hedge funds and large institutions have $284M invested in Applied Optoelectronics in 2016 Q3 according to their latest regulatory filings, with 31 funds opening new positions, 31 increasing their positions, 25 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed

86% more capital invested

Capital invested by funds: $153M → $284M (+$132M)

72% more first-time investments, than exits

New positions opened: 31 | Existing positions closed: 18

24% more repeat investments, than reductions

Existing positions increased: 31 | Existing positions reduced: 25

16% more funds holding

Funds holding: 82 → 95 (+13)

8% less call options, than puts

Call options by funds: $5.24M | Put options by funds: $5.73M

25% less funds holding in top 10

Funds holding in top 10: 4 → 3 (-1)

Holders
95
Holders Change
+13
Holders Change %
+15.85%
% of All Funds
2.53%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.08%
New
31
Increased
31
Reduced
25
Closed
18
Calls
$5.24M
Puts
$5.73M
Net Calls
-$486K
Net Calls Change
-$584K

Top Buyers

Rank Fund Capital Flow
1
WRCM
Whale Rock Capital Management
Massachusetts
+$10.2M
2
TCM
Trafelet Capital Management
New York
+$2.33M
3
VCM
Venator Capital Management
Ontario, Canada
+$2.23M
4
EI
EAM Investors
California
+$2.08M
5
HT
HAP Trading
New York
+$1.88M

Top Sellers

Rank Fund Capital Flow
1
CCPM
Cooper Creek Partners Management
New York
-$6.14M
2
AAP
Ardsley Advisory Partners
Connecticut
-$6.13M
3
WA
Wasatch Advisors
Utah
-$5.51M
4
Wellington Management Group
Wellington Management Group
Massachusetts
-$5.22M
5
PI
Putnam Investments
Massachusetts
-$3.55M
Name Holding Trade Value Shares
Change 		Change in
Stake
SCM
26
Signia Capital Management
Washington
$2.32M -$691K -44,646 -30%
EA
27
Emerald Acquisition
Washington
$2.21M -$2.89M -186,962 -65%
WSA
28
Wall Street Associates
California
$2.2M +$1.53M +98,900 New
D.E. Shaw & Co
29
D.E. Shaw & Co
New York
$2.19M +$1.53M +98,676 New
CCMLC
30
Cardinal Capital Management LLC (Connecticut)
Connecticut
$1.78M -$89.8K -5,800 -7%
Millennium Management
31
Millennium Management
New York
$1.73M +$1.21M +77,892 New
BIM
32
BlackRock Investment Management
Delaware
$1.56M -$3.58K -231 -0.3%
SST
33
S Squared Technology
New York
$1.44M -$1.73M -111,600 -63%
GC
34
Guggenheim Capital
Illinois
$1.37M -$682K -44,058 -42%
Bank of New York Mellon
35
Bank of New York Mellon
New York
$1.35M -$105K -6,789 -10%
Verition Fund Management
36
Verition Fund Management
Connecticut
$1.33M +$681K +44,000 +275%
DCM
37
Driehaus Capital Management
Illinois
$1.32M +$923K +59,625 New
Citadel Advisors
38
Citadel Advisors
Florida
$1.3M +$748K +48,334 +467%
RJA
39
Raymond James & Associates
Florida
$1.27M -$371K -23,945 -30%
PI
40
Putnam Investments
Massachusetts
$1.17M -$3.55M -229,107 -81%
Morgan Stanley
41
Morgan Stanley
New York
$1.13M +$673K +43,448 +582%
TFA
42
Toth Financial Advisory
Virginia
$1.13M +$784K +50,650 New
OAM
43
Oberweis Asset Management
Illinois
$1.11M +$776K +50,100 New
California Public Employees Retirement System
44
California Public Employees Retirement System
California
$886K – – –
Dimensional Fund Advisors
45
Dimensional Fund Advisors
Texas
$794K +$75.9K +4,900 +16%
PCM
46
Palisade Capital Management
New Jersey
$790K +$551K +35,580 New
California State Teachers Retirement System (CalSTRS)
47
California State Teachers Retirement System (CalSTRS)
California
$775K +$4.64K +300 +0.9%
HighTower Advisors
48
HighTower Advisors
Illinois
$668K +$468K +30,237 New
RJFSA
49
Raymond James Financial Services Advisors
Florida
$654K +$26.4K +1,707 +6%
TA
50
Teachers Advisors
New York
$615K – – –
1
2
3 4 5

AAOI Hedge Fund Activity: Q3 2016 in Review

95 of the 3,748 institutional investors tracked by Wall St. Rank reported a position in Applied Optoelectronics (AAOI) for Q3 2016, worth a combined $284M — up 86% from $153M a quarter earlier.

Buyers outnumbered sellers: 31 funds opened new AAOI positions and 18 closed out — a net gain of 13 holders — while 31 added to existing stakes and 25 trimmed.

The largest buyer was Whale Rock Capital Management, opening a new position worth an estimated $10.2M. The largest seller was Cooper Creek Partners Management, exiting entirely with an estimated $6.14M sold.

  • 95 institutional investors held Applied Optoelectronics (AAOI) as of Q3 2016, up from 82 in Q2 2016.
  • Funds reported $284M of Applied Optoelectronics stock for Q3 2016, up 86% quarter-over-quarter.
  • 31 funds opened new Applied Optoelectronics positions in Q3 2016 and 18 closed out, a net change of +13 holders.
  • The largest Applied Optoelectronics buyer in Q3 2016 was Whale Rock Capital Management, an estimated $10.2M added.
  • The largest Applied Optoelectronics seller in Q3 2016 was Cooper Creek Partners Management, an estimated $6.14M sold.

Based on aggregated 13F filings for Q3 2016.