5% stake reports

Filings through 10/02

Anyone who comes to hold more than 5% of a US-listed company must report it. A 13D holder may seek a say in the company; a 13G holder is a passive investor.

5% stake reports: 652; Last 30 days · 09/03–10/02
13D reports: 357; Last 30 days · 09/03–10/02
First reports over 5%: 241; Last 30 days · 09/03–10/02
Dropped below 5%: 83; Last 30 days · 09/03–10/02

5% stake reports

Applied Optoelectronics AAOI

	Holder			Kind
08/10	Jane Street Group08/10	2.4%1,952,757 sh	−2.9pp	13G passiveAmendment
05/13	Marex Securities Products05/13	5.6%4,486,292 sh	First report	13G passive
05/06	Invesco05/06	2.7%2,014,405 sh	−2.4pp	13G passiveAmendment
03/26	Vanguard Group03/26	0%0 sh	−7.3pp	13G passiveAmendment
03/23	Jane Street Group03/23	5.3%4,097,237 sh	First report	13G passive
02/12	Invesco02/12	5.1%3,512,309 sh	First report	13G passive
25/11/04	Chase & Co Jpmorgan25/11/04	4.4%2,800,882 sh	−3.1pp	13G passiveAmendment
25/10/17	Chase & Co Jpmorgan25/10/17	7.5%4,728,751 sh	First report	13G passive
25/05/15	D. E. Shaw25/05/15	4.2%2,239,337 sh	−0.9pp	13G passiveAmendment
25/01/15	D. E. Shaw25/01/15	5.1%2,501,830 sh	First report	13G passive