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Applied Optoelectronics
AAOI

172 hedge funds and large institutions have $457M invested in Applied Optoelectronics in 2017 Q4 according to their latest regulatory filings, with 32 funds opening new positions, 73 increasing their positions, 51 reducing their positions, and 63 closing their positions.

New
Increased
Maintained
Reduced
Closed

43% more repeat investments, than reductions

Existing positions increased: 73 | Existing positions reduced: 51

14.61% less ownership

Funds ownership: 77.16% → 62.55% (-15%)

16% less funds holding

Funds holding: 204 → 172 (-32)

48% less call options, than puts

Call options by funds: $48.3M | Put options by funds: $93.1M

49% less first-time investments, than exits

New positions opened: 32 | Existing positions closed: 63

52% less capital invested

Capital invested by funds: $959M → $457M (-$503M)

75% less funds holding in top 10

Funds holding in top 10: 4 → 1 (-3)

Holders
172
Holders Change
-32
Holders Change %
-15.69%
% of All Funds
3.9%
Holding in Top 10
1
Holding in Top 10 Change
-3
Holding in Top 10 Change %
-75%
% of All Funds
0.02%
New
32
Increased
73
Reduced
51
Closed
63
Calls
$48.3M
Puts
$93.1M
Net Calls
-$44.8M
Net Calls Change
+$36.7M

Top Buyers

1
MAI
Marble Arch Investments
New York
+$8.12M
2
TI
TT International
United Kingdom
+$7.61M
3
MPM
Meritage Portfolio Management
Kansas
+$6.04M
4
GC
Guggenheim Capital
Illinois
+$5.55M
5
AQR Capital Management
AQR Capital Management
Connecticut
+$5.39M

Top Sellers

1
Balyasny Asset Management
Balyasny Asset Management
Illinois
-$36.4M
2
Fidelity Investments
Fidelity Investments
Massachusetts
-$26.4M
3
Morgan Stanley
Morgan Stanley
New York
-$13.9M
4
TCM
Trafelet Capital Management
New York
-$12.5M
5
Robeco Institutional Asset Management
Robeco Institutional Asset Management
Netherlands
-$10.4M
Name Holding Trade Value Shares
Change 		Change in
Stake
BlackRock
1
BlackRock
New York
$88.4M +$1.82M +41,243 +2%
Vanguard Group
2
Vanguard Group
Pennsylvania
$40.4M +$1.77M +40,226 +4%
State of Tennessee, Department of Treasury
3
State of Tennessee, Department of Treasury
Tennessee
$31.2M +$470K +10,649 +1%
State Street
4
State Street
Massachusetts
$18.6M +$1.65M +37,329 +8%
TI
5
TT International
United Kingdom
$17.7M +$7.61M +172,555 +58%
Morgan Stanley
6
Morgan Stanley
New York
$14.5M -$13.9M -314,496 -45%
MAI
7
Marble Arch Investments
New York
$13.6M +$8.12M +184,200 +105%
Dimensional Fund Advisors
8
Dimensional Fund Advisors
Texas
$12M – – –
Bank of New York Mellon
9
Bank of New York Mellon
New York
$9.6M +$994K +22,537 +10%
GGHC
10
Gilder Gagnon Howe & Co
New York
$9.44M -$601K -13,626 -5%
Northern Trust
11
Northern Trust
Illinois
$8.35M +$128K +2,913 +1%
NM
12
Newtyn Management
New York
$8.28M +$838K +19,000 +10%
AQR Capital Management
13
AQR Capital Management
Connecticut
$7.83M +$5.39M +122,209 +144%
Fidelity Investments
14
Fidelity Investments
Massachusetts
$7.5M -$26.4M -597,938 -75%
Principal Financial Group
15
Principal Financial Group
Iowa
$6.77M +$819K +18,565 +12%
RJA
16
Raymond James & Associates
Florida
$6.65M -$6.84M -155,041 -47%
Goldman Sachs
17
Goldman Sachs
New York
$6.39M +$1.14M +25,865 +18%
Geode Capital Management
18
Geode Capital Management
Massachusetts
$6.31M +$198K +4,492 +3%
HW
19
Hancock Whitney
Mississippi
$5.81M +$1.18M +26,850 +21%
GC
20
Guggenheim Capital
Illinois
$5.8M +$5.55M +125,915 +456%
Manulife (Manufacturers Life Insurance)
21
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$5.57M +$4.17M +94,487 +180%
MPM
22
Meritage Portfolio Management
Kansas
$5.18M +$6.04M +137,010 New
RCM
23
Raging Capital Management
New Jersey
$4.25M +$4.95M +112,250 New
Charles Schwab
24
Charles Schwab
California
$4.09M +$219K +4,970 +5%
QIM
25
Quantitative Investment Management
Virginia
$4.09M +$4.77M +108,100 New
1
2 3 4 5

AAOI Hedge Fund Activity: Q4 2017 in Review

172 of the 4,409 institutional investors tracked by Wall St. Rank reported a position in Applied Optoelectronics (AAOI) for Q4 2017, worth a combined $457M — down 52% from $959M a quarter earlier.

Sellers outnumbered buyers: 63 funds closed out of AAOI and 32 opened new positions — a net loss of 31 holders — while 51 trimmed existing stakes and 73 added.

The largest buyer was Marble Arch Investments, adding an estimated $8.12M. The largest seller was Balyasny Asset Management, exiting entirely with an estimated $36.4M sold.

  • 172 institutional investors held Applied Optoelectronics (AAOI) as of Q4 2017, down from 204 in Q3 2017.
  • Funds reported $457M of Applied Optoelectronics stock for Q4 2017, down 52% quarter-over-quarter.
  • 32 funds opened new Applied Optoelectronics positions in Q4 2017 and 63 closed out, a net change of -31 holders.
  • The largest Applied Optoelectronics buyer in Q4 2017 was Marble Arch Investments, an estimated $8.12M added.
  • The largest Applied Optoelectronics seller in Q4 2017 was Balyasny Asset Management, an estimated $36.4M sold.

Based on aggregated 13F filings for Q4 2017.