AAOI β€” APPLIED OPTOELECTRONICS INC

Ownership history in GUGGENHEIM CAPITAL LLC  Β·  24 quarters on record

This page tracks every 13F SEC filing in which GUGGENHEIM CAPITAL LLC reported a position in APPLIED OPTOELECTRONICS INC (AAOI). Data includes quarterly share count, position size as % of portfolio, estimated market value, and end-of-quarter stock price β€” sourced directly from SEC EDGAR 13F filings.

πŸ” Peak position
0.01% (2018 Q1)
πŸ“Š Avg. % of fund
0.01%
πŸ“… First filed
2013 Q4
πŸ“… Last filed
2025 Q3
⏱ Quarters held
24

Position Intelligence

GUGGENHEIM CAPITAL LLC Γ— AAOI AI Analytics

πŸ“‰ GUGGENHEIM CAPITAL LLC underperformed the S&P 500 by –6.3% annually on this AAOI position. Timing score: 57% (13/23 decisions correct). Average cost basis: $22.69. Maximum drawdown during holding period: –76.3%.

πŸ“ˆ Position Alpha vs SPY
-6.3%
annualised excess return

❌ Significantly underperformed the S&P 500 by 6.3% ann.
3 quarters analyzed

⏱️ Timing Score
57%

βœ… Decent timing β€” more right than wrong on entries and exits.
13 of 23 add/trim decisions correct

πŸ’° Entry Quality
$22.69
+14.3% vs current ($25.93)

Best entry: $11.15 (2016 Q2)  Β·  Worst: $64.67 (2017 Q3)

πŸ›‘οΈ Drawdown Resilience
–76.3%
max drawdown while held

πŸ’ͺ Held through 2 major drawdowns (>20%).

πŸ’ͺ Fund Conviction
50%
buy-side decisions

12 adds Β· 12 trims. Bought during 8 of 10 down-price quarters. πŸ“ˆ More buys than sells across the holding period.

πŸ“‘ Position Trajectory
β†’ Stable
last 4–5 quarters trend

βš–οΈ Portfolio weight has remained relatively stable β€” conviction maintained.
Currently 0.0% of portfolio

⚠ Based on quarterly 13F SEC filings and end-of-quarter closing prices. Timing score = accuracy of add/trim decisions vs next-quarter price direction. Alpha = mean quarterly excess return Γ— 4 (annualised). Not investment advice.

% of Fund (quarterly)    AAOI price (monthly, adj. close)
πŸ“‹ Quarterly Holdings History 10 quarters  β–Ύ
Quarter Action Shares Change Chg % % of Fund Mkt Value Price (EOQ)
2025 Q3 ADDED 10,267 +2,081 +25.4% 0.00% $266K $25.93
2025 Q2 REDUCED 8,186 -6,321 -43.6% 0.00% $210K $25.69
2025 Q1 ADDED 14,507 +4,830 +49.9% 0.00% $223K $15.35
2024 Q4 REDUCED 9,677 -26,898 -73.5% 0.00% $357K $36.86
2018 Q3 ADDED 36,575 +6,151 +20.2% 0.01% $902K $24.66
2018 Q2 REDUCED 30,424 -194,986 -86.5% 0.01% $1.4M $44.90
2018 Q1 ADDED 225,410 +71,895 +46.8% 0.01% $5.7M $25.06
2017 Q4 ADDED 153,515 +125,915 +456.2% 0.01% $5.8M $37.82
2017 Q3 ADDED 27,600 +1,510 +5.8% 0.00% $1.8M $64.67
2017 Q2 ADDED 26,090 +2,195 +9.2% 0.00% $1.6M $61.79
14 older quarters hidden  β€”  Sign in free or upgrade to Premium to see full history

🏒 Other funds also holding AAOI

As of 2025 Q4 β€” sorted by position size

SCALAR GAUGE MANAGEMENT, LLC 3.15% 1492 Capital Management LLC 3Y 7Y 2.88% HAWK RIDGE CAPITAL MANAGEMENT LP 3Y 7Y 2.74% JAT Capital Mgmt LP 3Y 2.68% OBERWEIS ASSET MANAGEMENT INC/ 3Y 7Y 2.6% Roubaix Capital, LLC 3Y 1.61% Penn Capital Management Company, LLC 3Y 7Y 1.24% NEXT CENTURY GROWTH INVESTORS LLC 3Y 7Y 1.13% EMERALD ADVISERS, LLC 3Y 7Y 0.72% Hood River Capital Management LLC 3Y 7Y 0.49%
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