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

Institutional Holders (2016Q3)
Portfolio Summary: 108 Institutional holders with a total value of $287,396,041.
#
Manager Name
Shares
Value ($)
%
Options
Notes
51 CITADEL ADVISORS LLC 26,400 586,000 0.20% Call
52 CREDIT SUISSE AG/ 26,436 587,000 0.20%
53 HIGHBRIDGE CAPITAL MANAGEMENT LLC 27,700 615,000 0.21%
54 TEACHERS ADVISORS, LLC 27,698 615,000 0.21%
55 Raymond James Financial Services Advisors, Inc. 29,466 654,000 0.23%
56 HighTower Advisors, LLC 30,237 668,000 0.23%
57 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 34,892 775,000 0.27%
58 PALISADE CAPITAL MANAGEMENT, LP 35,580 790,000 0.27%
59 DIMENSIONAL FUND ADVISORS LP 35,731 794,000 0.28%
60 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 39,900 886,000 0.31%
61 TIAA CREF INVESTMENT MANAGEMENT LLC 45,564 1,012,000 0.35%
62 OBERWEIS ASSET MANAGEMENT INC/ 50,100 1,113,000 0.39%
63 TOTH FINANCIAL ADVISORY CORP 50,650 1,125,000 0.39%
64 MORGAN STANLEY 50,907 1,130,000 0.39%
65 PUTNAM INVESTMENTS LLC 52,725 1,171,000 0.41%
66 CUTLER GROUP LLC / CA 118,600 1,179,000 0.41% Call
67 Spot Trading L.L.C 55,200 1,226,000 0.43% Call
68 RAYMOND JAMES & ASSOCIATES 57,021 1,266,000 0.44%
69 CITADEL ADVISORS LLC 58,676 1,304,000 0.45%
70 DRIEHAUS CAPITAL MANAGEMENT LLC 59,625 1,324,000 0.46%
71 Verition Fund Management LLC 60,000 1,333,000 0.46%
72 Bank of New York Mellon Corp 60,765 1,349,000 0.47%
73 GUGGENHEIM CAPITAL LLC 61,528 1,367,000 0.48%
74 SUSQUEHANNA INTERNATIONAL GROUP, LLP 61,700 1,370,000 0.48% Call
75 Spot Trading L.L.C 63,100 1,401,000 0.49% Put
76 S Squared Technology, LLC 64,784 1,439,000 0.50%
77 BlackRock Investment Management, LLC 70,144 1,558,000 0.54%
78 MILLENNIUM MANAGEMENT LLC 77,892 1,730,000 0.60%
79 CARDINAL CAPITAL MANAGEMENT LLC /CT 80,280 1,783,000 0.62%
80 D. E. Shaw & Co., Inc. 98,676 2,192,000 0.76%
81 WALL STREET ASSOCIATES 98,900 2,197,000 0.76%
82 EMERALD ACQUISITION LTD. 99,288 2,205,000 0.77%
83 SIGNIA CAPITAL MANAGEMENT LLC 104,578 2,323,000 0.81%
84 GEODE CAPITAL MANAGEMENT, LLC 106,207 2,358,000 0.82%
85 SUSQUEHANNA INTERNATIONAL GROUP, LLP 112,000 2,488,000 0.87% Put
86 HAP Trading, LLC 121,373 2,696,000 0.94%
87 Portolan Capital Management, LLC 125,696 2,792,000 0.97%
88 AMERIPRISE FINANCIAL INC 126,583 2,813,000 0.98%
89 Informed Momentum Co LLC 134,219 2,981,000 1.04%
90 Venator Capital Management Ltd. 144,272 3,204,000 1.11%
91 NORTHERN TRUST CORP 159,223 3,536,000 1.23%
92 PKO Investment Management Joint-Stock Co 212,500 4,719,625 1.64%
93 STATE STREET CORP 247,582 5,500,000 1.91%
94 WADDELL & REED FINANCIAL INC 288,186 6,401,000 2.23%
95 WELLS FARGO & COMPANY/MN 294,348 6,537,000 2.27%
96 EMERALD MUTUAL FUND ADVISERS TRUST 401,283 8,912,000 3.10%
97 EMERALD ADVISERS, LLC 414,641 9,209,000 3.20%
98 BlackRock Institutional Trust Company, N.A. 414,727 9,211,000 3.20%
99 GILDER GAGNON HOWE & CO LLC 421,296 9,357,000 3.26%
100 Hood River Capital Management LLC 423,368 9,403,000 3.27%
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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.