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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/15/2024 | DRIEHAUS CAPITAL MANAGEMENT LLC | 3.42 M | $47.37 M | 23.54% | 9.35% |
| 05/10/2024 | VANGUARD GROUP INC | 1.95 M | $27.09 M | 29.25% | 5.35% |
| 05/15/2024 | ALYESKA INVESTMENT GROUP, L.P. | 1.47 M | $20.33 M | 458.75% | 4.01% |
| 05/15/2024 | HOOD RIVER CAPITAL MANAGEMENT LLC | 1.44 M | $19.95 M | 6.53% | 3.94% |
| 05/15/2024 | PORTOLAN CAPITAL MANAGEMENT, LLC | 1.43 M | $19.89 M | -6.77% | 3.93% |
| 05/15/2024 | POINT72 ASSET MANAGEMENT, L.P. | 1.41 M | $19.50 M | 354.87% | 3.85% |
| 05/15/2024 | WHALE ROCK CAPITAL MANAGEMENT LLC | 1.33 M | $18.49 M | 30.04% | 3.65% |
| 05/13/2024 | ROYCE & ASSOCIATES LP | 1.15 M | $15.90 M | 14.13% | 3.14% |
| 05/15/2024 | AMERIPRISE FINANCIAL INC | 1.00 M | $13.86 M | 121.06% | 2.74% |
| 05/10/2024 | BLACKROCK INC. | 850,004 | $11.78 M | 16.74% | 2.33% |
| 05/15/2024 | OBERWEIS ASSET MANAGEMENT INC/ | 849,615 | $11.78 M | -4.74% | 2.32% |
| 04/26/2024 | CLOUDALPHA CAPITAL MANAGEMENT LIMITED/HONG KONG | 831,200 | $11.52 M | 30.45% | 2.27% |
| 04/24/2024 | ASSENAGON ASSET MANAGEMENT S.A. | 631,799 | $8.76 M | 875.86% | 1.73% |
| 05/10/2024 | DIMENSIONAL FUND ADVISORS LP | 592,442 | $8.21 M | 361.44% | 1.62% |
| 05/08/2024 | EMERALD ADVISERS, LLC | 528,309 | $7.32 M | 100.00% | 1.45% |
| 05/14/2024 | AMERICAN CENTURY COMPANIES INC | 501,467 | $6.95 M | 46.06% | 1.37% |
| 05/15/2024 | KENNEDY CAPITAL MANAGEMENT LLC | 463,213 | $6.42 M | 88.61% | 1.27% |
| 05/10/2024 | CENTERBOOK PARTNERS LP | 423,571 | $5.87 M | 254.11% | 1.16% |
| 05/15/2024 | LAURION CAPITAL MANAGEMENT LP | 413,611 | $5.73 M | 0.00% | 1.13% |
| 05/15/2024 | D. E. SHAW & CO., INC. | 411,669 | $5.71 M | 19.88% | 1.13% |
| 05/16/2024 | JANE STREET GROUP, LLC | 405,801 | $5.62 M | -56.43% | 1.11% |
| 05/08/2024 | EMERALD MUTUAL FUND ADVISERS TRUST | 399,117 | $5.53 M | 100.00% | 1.09% |
| 05/13/2024 | GEODE CAPITAL MANAGEMENT, LLC | 388,487 | $5.39 M | 2.45% | 1.06% |
| 05/15/2024 | MILLENNIUM MANAGEMENT LLC | 375,799 | $5.21 M | -40.66% | 1.03% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 361,594 | $5.01 M | -28.98% | 0.99% |
| 05/15/2024 | MARSHALL WACE, LLP | 358,527 | $4.97 M | 100.00% | 0.98% |
| 05/15/2024 | CITADEL ADVISORS LLC | 355,200 | $4.92 M | 260.61% | 0.97% |
| 05/15/2024 | STATE STREET CORP | 342,995 | $4.75 M | 44.48% | 0.94% |
| 05/10/2024 | CITIGROUP INC | 316,847 | $4.39 M | -0.86% | 0.87% |
| 05/13/2024 | WOLVERINE ASSET MANAGEMENT LLC | 305,600 | $4.24 M | 305,500.00% | 0.84% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 299,800 | $4.16 M | 20.89% | 0.82% |
| 05/15/2024 | GOLDMAN SACHS GROUP INC | 271,037 | $3.76 M | -68.26% | 0.74% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 259,800 | $3.60 M | -52.22% | 0.71% |
| 05/15/2024 | SCHONFELD STRATEGIC ADVISORS LLC | 259,209 | $3.59 M | 100.00% | 0.71% |
| 05/10/2024 | ACUITAS INVESTMENTS, LLC | 239,336 | $3.32 M | 53.64% | 0.65% |
| 05/15/2024 | MORGAN STANLEY | 215,408 | $2.99 M | -70.64% | 0.59% |
| 05/15/2024 | VOLORIDGE INVESTMENT MANAGEMENT, LLC | 199,087 | $2.76 M | -18.82% | 0.54% |
| 05/01/2024 | HUSSMAN STRATEGIC ADVISORS, INC. | 189,000 | $2.62 M | 100.00% | 0.52% |
| 05/15/2024 | SQUAREPOINT OPS LLC | 185,434 | $2.57 M | 58.00% | 0.51% |
| 05/14/2024 | POLYMER CAPITAL MANAGEMENT (HK) LTD | 181,780 | $2.52 M | 81.78% | 0.50% |
| 05/15/2024 | CITADEL ADVISORS LLC | 156,200 | $2.16 M | -30.27% | 0.43% |
| 04/23/2024 | RICE HALL JAMES & ASSOCIATES, LLC | 140,688 | $1.95 M | 100.00% | 0.38% |
| 05/13/2024 | HRT FINANCIAL LP | 131,863 | $1.83 M | 100.00% | 0.36% |
| 05/15/2024 | WOLVERINE TRADING, LLC | 131,000 | $1.82 M | 72.14% | 0.36% |
| 05/08/2024 | INDEPENDENT ADVISOR ALLIANCE | 127,515 | $1.77 M | 100.00% | 0.35% |
| 05/15/2024 | G2 INVESTMENT PARTNERS MANAGEMENT LLC | 126,000 | $1.75 M | 100.00% | 0.34% |
| 05/15/2024 | POINT72 ASIA (SINGAPORE) PTE. LTD. | 111,505 | $1.55 M | 100.00% | 0.31% |
| 05/15/2024 | DEUTSCHE BANK AG\ | 105,788 | $1.47 M | 0.00% | 0.29% |
| 05/14/2024 | NORTHERN TRUST CORP | 103,901 | $1.44 M | 13.96% | 0.28% |
| 05/14/2024 | GAMCO INVESTORS, INC. ET AL | 97,400 | $1.35 M | -14.49% | 0.27% |
A. During the previous two years, 201 institutional investors and hedge funds held shares of Applied Optoelectronics, Inc.. The most heavily invested institutionals were:
DRIEHAUS CAPITAL MANAGEMENT LLC: 3.42 M
VANGUARD GROUP INC: 1.95 M
Alyeska Investment Group, L.P.: 1.47 M
Hood River Capital Management LLC: 1.44 M
Portolan Capital Management, LLC: 1.43 M
Point72 Asset Management, L.P.: 1.41 M
A. 78.40% of Applied Optoelectronics, Inc. stock is owned by institutional investors.
A. Institutional investors have bought a total of 34.14 M shares in the last 24 months. This purchase volume represents approximately $278.95 M in transactions.
