SecurityAQMS / Aqua Metals, Inc. (03837J101)
Institutional Owners82 (14 N-Q Owners)
Institutional Shares11,071,361 - 38.58% (ex. N-Q)
Common Shares Outstanding28,694,210 shares (as of 2017-12-31)
Institutional Value$ 55,936,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

Aqua Metals, Inc. (NASDAQ:AQMS) has 82 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 11,071,361 shares. Largest shareholders include Philotimo Fund, LP, AWM Investment Company, Inc., Frontier Capital Management Co Llc, BlackRock Inc., Wolverine Asset Management Llc, Vanguard Group Inc, Selz Capital LLC, Renaissance Technologies LLC, Deutsche Bank Ag\, and Herald Investment Management Ltd.

Aqua Metals, Inc. (NASDAQ:AQMS) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.


File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-02-05 13F-HR FIRST MERCANTILE TRUST CO 10,198 10,098 -0.98 70 22 -68.57
2017-11-28 N-Q Wells Fargo Variable Trust (see advisory)
2018-02-14 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 26,552 26,552 0.00 182 57 -68.68
2017-11-08 13F-HR D.A. DAVIDSON & CO. 9,625 0 -100.00 120 0 -100.00
2018-01-24 13F-HR IFP Advisors, Inc 75 0 -100.00 1 0 -100.00
2018-02-13 13F-HR ALLIANCEBERNSTEIN L.P. 17,200 13,500 -21.51 118 29 -75.42
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 15,400 15,400 0.00 105 33 -68.57
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 108,378 0 -100.00 742 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 52,700 83,200 57.87 361 177 -50.97
2018-02-07 13F-HR Sigma Planning Corp 19,450 39,400 102.57 133 84 -36.84
2018-02-14 13F-HR MORGAN STANLEY 60,533 54,133 -10.57 415 116 -72.05
2017-11-29 N-Q Vanguard Index Funds (see advisory)
2018-02-14 13F-HR ROYAL BANK OF CANADA Call 169,000 360
2017-11-14 13F-HR PARADIGM ASSET MANAGEMENT CO LLC 3,100 0 -100.00 38,905 0 -100.00
2018-02-28 N-Q Rydex Dynamic Funds (see advisory)
2017-11-07 13F-HR Russell Investments Group, Ltd. 25,600 0 -100.00 321 0 -100.00
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ Put 3,000 3,000 0.00 6 8 33.33
2017-11-29 N-Q Vanguard Institutional Index Funds (see advisory)
2017-11-02 13F-HR Boston Partners 56,300 0 -100.00 707 0 -100.00
2018-03-01 N-Q Aqr Funds (see advisory)
2018-01-17 13F-HR Cutler Group LP 12,033 4,890 -59.36 82 10 -87.80
2018-02-15 13F-HR DOHENY ASSET MANAGEMENT /CA 310,775 0 -100.00 2,129 0 -100.00
2018-02-14 13F-HR A.R.T. Advisors, LLC 46,849 0 -100.00 320 0 -100.00
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 11,973 2,646 -77.90 82 6 -92.68
2018-02-12 13F-HR Herald Investment Management Ltd 400,000 848
2018-02-13 13F-HR Oz Management LP 12,000 0 -100.00 82 0 -100.00
2018-02-12 13F-HR CITIGROUP INC 1,621 1,692 4.38 11 3 -72.73
2018-02-05 13F-HR ESSEX INVESTMENT MANAGEMENT CO LLC 40,601 0 -100.00 278 0 -100.00
2018-02-09 13F-HR Virtu Financial LLC 40,677 87
2018-01-10 13F-HR SIMPLEX TRADING, LLC 0 5,076 0 10
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 128,812 119,372 -7.33 882 254 -71.20
2018-02-14 13F-HR DEUTSCHE BANK AG\ 15,637 426,200 2,625.59 106 906 754.72
2018-02-14 13F-HR Ameritas Investment Partners, Inc. 838 838 0.00 6 2 -66.67
2018-04-16 13F-HR Westside Investment Management, Inc. 13,000 13,000 0.00 27,560 32,110 16.51
2017-11-13 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 44,151 0 -100.00 554 0 -100.00
2018-02-14 13F-HR Summit Trail Advisors, Llc 490 1
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 17,855 21,364 19.65 122 46 -62.30
2018-02-14 13F-HR STATE STREET CORP 216,651 224,329 3.54 1,484 478 -67.79
2018-02-14 13F-HR Advisor Group, Inc. 507 650 28.21 3 1 -66.67
2018-02-13 13F-HR Oz Management LP Put 12,000 0 -100.00 82 0 -100.00
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 600 1
2018-01-18 13F-HR FRONTIER CAPITAL MANAGEMENT CO LLC 1,253,897 1,077,178 -14.09 8,589 2,294 -73.29
2018-02-14 13F-HR VANGUARD GROUP INC 622,102 828,522 33.18 4,262 1,764 -58.61
2018-04-13 13F-HR Selz Capital LLC 553,000 553,000 0.00 1,178 1,432 21.56
2018-02-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 107,366 107,366 0.00 735 229 -68.84
2017-11-14 13F-HR PEAK6 Investments, L.P. Put 20,000 0 -100.00 251 0 -100.00
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-02-14 13F-HR NORTHERN TRUST CORP 183,345 184,720 0.75 1,256 393 -68.71
2018-02-09 13F-HR LEVIN CAPITAL STRATEGIES, L.P. 72,000 0 -100.00 493 0 -100.00
2018-02-14 13F-HR TWO SIGMA INVESTMENTS LLC 37,797 81
2018-01-17 13F-HR CAPROCK Group, Inc. 11,594 0 -100.00 79 0 -100.00
2018-01-22 13F-HR Beech Hill Advisors, Inc. 15,425 15,925 3.24 106 34 -67.92
2018-02-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 11,151 11,350 1.78 76 24 -68.42
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 36,200 0 -100.00 248 0 -100.00
2017-11-21 N-Q M Fund Inc (see advisory)
2017-11-14 13F-HR HENDERSON GROUP PLC 11,856 0 -100.00 149 0 -100.00
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 0 72,548 0 155
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 22,400 37,300 66.52 153 79 -48.37
2018-02-13 13F-HR Legal & General Group Plc 5,332 5,332 0.00 37 11 -70.27
2018-04-10 SC 13G/A AWM Investment Company, Inc. 2,405,046 1,101,467 -54.20
2017-10-25 13F-HR Gierl Augustine Investment Management Inc 600 0 -100.00 8 0 -100.00
2018-02-14 13F-HR UBS Group AG Put 18,000 0 -100.00 123 0 -100.00
2018-02-12 13F-HR Leisure Capital Management 54,102 88,792 64.12 371 189 -49.06
2018-02-28 N-Q Ishares Trust (see advisory)
2018-02-14 13F-HR TEACHERS ADVISORS INC 19,580 19,580 0.00 134 42 -68.66
2017-11-14 13F-HR BARD ASSOCIATES INC 23,800 0 -100.00 299 0 -100.00
2018-03-05 13F-HR/A-1 BNP PARIBAS ARBITRAGE, SA 1,470 3,382 130.07 10,070 7,204 -28.46
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 6,749 30,320 349.25 46 65 41.30
2018-02-06 13F-HR M&T BANK CORP 10,131 0 -100.00 70 0 -100.00
2018-02-14 13F-HR BARCLAYS PLC 1,537 36,397 2,268.05 11 78 609.09
2018-02-12 13F-HR NN Investment Partners Holdings N.V. 50,000 50,000 0.00 343 107 -68.80
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 300 1
2018-02-14 13F-HR Squarepoint Ops LLC 0 20,200 0 43
2018-02-13 13F-HR Myda Advisors Llc 15,000 32
2018-04-04 SC 13D/A Philotimo Fund, LP 2,276,548 2,283,678 0.31
2017-11-29 N-Q Vanguard Valley Forge Funds (see advisory)
2018-02-13 13F-HR Catamount Wealth Management 1,100 1,100 0.00 8 2 -75.00
2018-01-17 13F-HR Cutler Group LP Put 24,900 0 -100.00 107 0 -100.00
2017-11-13 13F-HR RAYMOND JAMES & ASSOCIATES 21,558 0 -100.00 271 0 -100.00
2018-02-28 N-Q Rydex Series Funds (see advisory)
2018-02-13 13F-HR Renaissance Technologies LLC 0 466,500 0 994
2018-01-17 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 32,800 32,800 0.00 225 70 -68.89
2018-02-14 13F-HR ROBECOSAM AG 470,000 0 -100.00 3,361 0 -100.00
2018-01-17 13F-HR Asset Dedication, LLC 1,000 1,000 0.00 7 2 -71.43
2018-02-07 13F-HR PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. 220,920 471
2018-02-09 13F-HR RHUMBLINE ADVISERS 17,977 15,005 -16.53 123 32 -73.98
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 37,900 97,800 158.05 260 208 -20.00
2018-02-01 13F-HR Nationwide Fund Advisors 86,990 0 -100.00 596 0 -100.00
2018-02-12 13F-HR BROWN ADVISORY INC 15,500 14,500 -6.45 106 31 -70.75
2018-02-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 44,866 96
2018-02-14 13F-HR AQR CAPITAL MANAGEMENT LLC 18,689 0 -100.00 128 0 -100.00
2018-02-14 13F-HR Invesco Ltd. 91,597 276,245 201.59 627 588 -6.22
2018-02-13 13F-HR JP Morgan Chase & Co 30,000 3,635 -87.88 215 8 -96.28
2018-03-14 13F-HR/A-1 CREDIT SUISSE AG/ 10,784 0 -100.00 74 0 -100.00
2017-11-29 N-Q Deutsche Investments Vit Funds (see advisory)
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 3,000 3,000 0.00 6 8 33.33
2018-02-13 13F-HR Parallel Advisors, LLC 2,000 4
2018-02-14 13F-HR ROYAL BANK OF CANADA 30,935 54,950 77.63 212 117 -44.81
2018-04-04 13F-HR CENTRAL TRUST Co 1,000 1,000 0.00 2 3 50.00
2018-02-14 13F-HR MACQUARIE GROUP LTD 15,700 33
2018-02-27 N-Q Northern Funds (see advisory)
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 674,954 15,482 -97.71 4,623 33 -99.29
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 21,000 13,400 -36.19 144 29 -79.86
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 2,415 0 -100.00 17 0 -100.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 110,900 39,400 -64.47 760 84 -88.95
2018-01-17 13F-HR Cutler Group LP Call 16,300 1,100 -93.25 0 0
2018-02-14 13F-HR WOLVERINE ASSET MANAGEMENT LLC 886,160 1,887
2018-01-26 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 2,960 4,010 35.47 20 9 -55.00
2018-02-09 13F-HR BlackRock Inc. 883,184 891,214 0.91 6,050 1,898 -68.63
2017-11-14 13F-HR PEAK6 Investments, L.P. 6,818 0 -100.00 86 0 -100.00
2017-11-09 13F-HR Cornerstone Financial Partners, LLC 18,721 0 -100.00 235 0 -100.00
2018-02-09 13F-HR Bank of New York Mellon Corp 273,552 48,553 -82.25 1,875 104 -94.45
2018-02-14 13F-HR UBS Group AG 55,779 25,800 -53.75 382 55 -85.60
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 773 3,158 308.54 5 7 40.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC 39,592 0 -100.00 271 0 -100.00
2018-04-18 13F-HR REGIONS FINANCIAL CORP 70,000 70,000 0.00 149 181 21.48
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 16,115 10,002 -37.93 110 21 -80.91

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( AQMS / Aqua Metals, Inc. ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

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CUSIP: 03837J101