| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | GUGGENHEIM CAPITAL LLC | 3,892,166 | 5,722,000 | 32.12% | ||
| 2 | SHAH CAPITAL MANAGEMENT | 3,409,039 | 5,011,000 | 28.13% | ||
| 3 | CREDIT SUISSE AG/ | 1,032,021 | 1,517,000 | 8.52% | ||
| 4 | Invesco Ltd. | 617,418 | 908,000 | 5.10% | ||
| 5 | LAZARD ASSET MANAGEMENT LLC | 376,773 | 553,000 | 3.10% | ||
| 6 | CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | 381,400 | 534,000 | 3.00% | ||
| 7 | Guinness Atkinson Asset Management Inc | 328,500 | 483,000 | 2.71% | ||
| 8 | DEUTSCHE BANK AG\ | 306,773 | 450,000 | 2.53% | ||
| 9 | MORGAN STANLEY | 136,237 | 200,000 | 1.12% | ||
| 10 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 134,626 | 198,000 | 1.11% | ||
| 11 | Guinness Asset Management LTD | 124,820 | 183,000 | 1.03% | ||
| 12 | RENAISSANCE TECHNOLOGIES LLC | 122,400 | 180,000 | 1.01% | ||
| 13 | Legal & General Group Plc | 115,700 | 170,000 | 0.95% | ||
| 14 | KBC Group NV | 113,151 | 166,000 | 0.93% | ||
| 15 | Spot Trading L.L.C | 110,000 | 162,000 | 0.91% | Call | |
| 16 | GOLDMAN SACHS GROUP INC | 100,707 | 148,000 | 0.83% | ||
| 17 | VAN ECK ASSOCIATES CORP | 91,589 | 135,000 | 0.76% | ||
| 18 | STATE STREET CORP | 83,740 | 123,000 | 0.69% | ||
| 19 | CITIGROUP INC | 75,677 | 111,000 | 0.62% | ||
| 20 | Central Asset Investments & Management Holdings (HK) Ltd | 72,000 | 106,000 | 0.60% | ||
| 21 | CITADEL ADVISORS LLC | 60,091 | 88,000 | 0.49% | ||
| 22 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 52,700 | 77,000 | 0.43% | Call | |
| 23 | Zurcher Kantonalbank (Zurich Cantonalbank) | 46,961 | 69,000 | 0.39% | ||
| 24 | ROYAL BANK OF CANADA | 44,500 | 66,000 | 0.37% | ||
| 25 | Aperio Group, LLC | 42,074 | 62,000 | 0.35% | SH | |
| 26 | GRACE & WHITE INC /NY | 36,901 | 54,000 | 0.30% | ||
| 27 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 36,400 | 54,000 | 0.30% | Put | |
| 28 | GROUP ONE TRADING LLC | 36,096 | 53,000 | 0.30% | ||
| 29 | EQUITEC PROPRIETARY MARKETS, LLC | 26,790 | 39,000 | 0.22% | ||
| 30 | EQUITEC PROPRIETARY MARKETS, LLC | 23,400 | 34,000 | 0.19% | Put | |
| 31 | BARCLAYS PLC | 26,911 | 27,000 | 0.15% | ||
| 32 | BARCLAYS PLC | 23,900 | 24,000 | 0.13% | Put | |
| 33 | Virtu KCG Holdings LLC | 12,529 | 18,000 | 0.10% | ||
| 34 | BlackRock Group LTD | 11,859 | 17,000 | 0.10% | ||
| 35 | CITY NATIONAL BANK | 10,000 | 15,000 | 0.08% | ||
| 36 | UBS Group AG | 6,500 | 10,000 | 0.06% | ||
| 37 | EQUITEC PROPRIETARY MARKETS, LLC | 5,300 | 8,000 | 0.04% | Call | |
| 38 | GOLDMAN SACHS GROUP INC | 4,500 | 7,000 | 0.04% | Call | |
| 39 | BANK OF AMERICA CORP /DE/ | 4,351 | 6,000 | 0.03% | ||
| 40 | Global X Management CO LLC | 3,451 | 5,000 | 0.03% | ||
| 41 | LADENBURG THALMANN FINANCIAL SERVICES INC. | 2,500 | 4,000 | 0.02% | ||
| 42 | Parallax Volatility Advisers, L.P. | 3,000 | 4,000 | 0.02% | Call | |
| 43 | BARCLAYS PLC | 3,000 | 3,000 | 0.02% | Call | |
| 44 | Lombard Odier & Cie (Bahamas) Ltd | 1,700 | 2,000 | 0.01% | ||
| 45 | GOLDMAN SACHS GROUP INC | 1,400 | 2,000 | 0.01% | Put | |
| 46 | Compagnie Lombard Odier SCmA | 1,700 | 2,000 | 0.01% | ||
| 47 | Creative Planning | 900 | 1,000 | 0.01% | ||
| 48 | PNC FINANCIAL SERVICES GROUP, INC. | 847 | 1,000 | 0.01% | ||
| 49 | Spot Trading L.L.C | 514 | 1,000 | 0.01% | ||
| 50 | WELLS FARGO & COMPANY/MN | 401 | 1,000 | 0.01% |
From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.
