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APPLIED OPTOELECTRONICS INC
APPLIED OPTOELECTRONICS INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 85 Institutional holders with a total value of $139,527,508.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GILDER GAGNON HOWE & CO LLC 883,090 14,218,000 10.19%
2 COLUMBIA PARTNERS L.L.C. INVESTMENT MANAGEMENT 499,617 8,043,000 5.76%
3 ARDSLEY ADVISORY PARTNERS LP 430,000 6,923,000 4.96%
4 GRUBER & MCBAINE CAPITAL MANAGEMENT LLC 380,000 6,118,000 4.38%
5 BlackRock Fund Advisors 356,154 5,734,000 4.11%
6 EMERALD MUTUAL FUND ADVISERS TRUST 327,268 5,269,000 3.78%
7 EMERALD ADVISERS, LLC 320,415 5,159,000 3.70%
8 NEWLAND CAPITAL MANAGEMENT, LLC 316,661 5,098,000 3.65%
9 VANGUARD GROUP INC 308,484 4,966,000 3.56%
10 Portolan Capital Management, LLC 307,350 4,948,000 3.55%
11 Hood River Capital Management LLC 262,598 4,228,000 3.03%
12 WADDELL & REED FINANCIAL INC 253,370 4,079,000 2.92%
13 Nicholas Investment Partners, LP 238,428 3,839,000 2.75%
14 TURNER INVESTMENTS LLC 216,170 3,480,000 2.49%
15 SPROTT INC. 187,000 3,011,000 2.16%
16 KINGDON CAPITAL MANAGEMENT, L.L.C. 163,204 2,628,000 1.88%
17 STATE STREET CORP 159,752 2,572,000 1.84%
18 NORTHERN TRUST CORP 146,028 2,351,000 1.68%
19 Shannon River Fund Management LLC 145,700 2,346,000 1.68%
20 BlackRock Institutional Trust Company, N.A. 140,099 2,256,000 1.62%
21 RUSSELL FRANK CO/ 125,948 2,027,000 1.45%
22 WALL STREET ASSOCIATES 125,547 2,021,000 1.45%
23 GROW Partners, LLC 123,500 1,988,000 1.42%
24 Informed Momentum Co LLC 119,893 1,930,000 1.38%
25 RAYMOND JAMES & ASSOCIATES 115,197 1,855,000 1.33%
26 Allianz Asset Management GmbH 114,632 1,846,000 1.32%
27 ALPINE WOODS CAPITAL INVESTORS, LLC 108,228 1,743,000 1.25%
28 NORTHPOINTE CAPITAL LLC 104,640 1,685,000 1.21%
29 CARDINAL CAPITAL MANAGEMENT LLC /CT 101,500 1,634,000 1.17%
30 Bank of New York Mellon Corp 99,937 1,609,000 1.15%
31 GUGGENHEIM CAPITAL LLC 98,193 1,581,000 1.13%
32 WELLS FARGO & COMPANY/MN 90,630 1,459,000 1.05%
33 THRIVENT FINANCIAL FOR LUTHERANS 82,610 1,330,000 0.95%
34 AFTON CAPITAL MANAGEMENT LLC 82,206 1,324,000 0.95%
35 MORGAN STANLEY 78,363 1,262,000 0.90%
36 G2 Investment Partners Management LLC 75,887 1,222,000 0.88%
37 Nuveen Asset Management, LLC 70,105 1,129,000 0.81%
38 Robert W. Baird & Co. Inc 66,901 1,077,000 0.77% SH
39 TIAA CREF INVESTMENT MANAGEMENT LLC 55,972 901,000 0.65%
40 PERKINS CAPITAL MANAGEMENT INC 53,100 855,000 0.61%
41 DIALECTIC CAPITAL MANAGEMENT, LP 51,884 835,000 0.60%
42 GEODE CAPITAL MANAGEMENT, LLC 49,894 803,000 0.58%
43 CREDIT SUISSE AG/ 49,457 797,000 0.57%
44 BANK OF NOVA SCOTIA 43,836 706,000 0.51%
45 BlackRock Investment Management, LLC 43,313 697,000 0.50%
46 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 40,839 658,000 0.47%
47 MID CONTINENT CAPITAL LLC/IL 32,645 526,000 0.38%
48 FORTALEZA ASSET MANAGEMENT INC/ 32,320 520,000 0.37%
49 GOLDMAN CAPITAL MANAGEMENT INC 31,000 500,000 0.36%
50 MUNDER CAPITAL MANAGEMENT 29,374 473,000 0.34%
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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.