Vault-13

ALIBABA GROUP HLDG LTD BABA

SPONSORED ADS · ADR · CUSIP 01609W102 · ISIN US01609W1027

Chinese multinational technology company

1,254 institutional holders +79 vs Q4 2022
367,303,468367.3m shares reported held*
$37.5bnreported value*
186 new 438 added 373 reduced 107 sold out net sold ≈ $1.1bn (-10.1m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($152.2m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $102.12. Options: 98 managers hold calls ($11.1bn notional), 55 hold puts ($6.5bn).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

05001k1.5kQ3 22: 1,144Q4 22: 1,175Q1 23: 1,2541,254Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 20221,144
Q4 20221,175
Q1 20231,254

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1k01kQ4 22: 427 bought or addedQ4 22: 623 cut or sold outQ4 22Q1 23: 624 bought or addedQ1 23: 480 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022427623
Q1 2023624480

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$5bn$10bn$15bnQ3 22 calls: $7.6bnQ3 22 puts: $6.1bnQ3 22P/C 0.80Q4 22 calls: $8.6bnQ4 22 puts: $5.2bnQ4 22P/C 0.60Q1 23 calls: $11.1bnQ1 23 puts: $6.5bnQ1 23P/C 0.58
Numbers
QuarterCallsPutsP/C
Q3 2022$7.6bn$6.1bn0.80
Q4 2022$8.6bn$5.2bn0.60
Q1 2023$11.1bn$6.5bn0.58

Biggest buyers

FMR LLC Added +7,124,543+7.1m
PRICE T ROWE ASSOCIATES INC /MD/ Added +3,124,057+3.1m
NORGES BANK Added +3,053,830+3.1m
Hudson Bay Capital Management LP Added +2,654,530+2.7m
Nuveen Asset Management, LLC Added +2,591,229+2.6m
ALKEON CAPITAL MANAGEMENT LLC Added +2,382,175+2.4m
MOORE CAPITAL MANAGEMENT, LP Added +1,965,668+2.0m
ENVESTNET ASSET MANAGEMENT INC Added +1,883,022+1.9m
Man Group plc New +1,831,426+1.8m
BANK OF AMERICA CORP /DE/ Added +1,478,767+1.5m

Biggest sellers

GOLDMAN SACHS GROUP INC Reduced -12,432,008-12.4m
HSBC HOLDINGS PLC Reduced -4,725,266-4.7m
Segantii Capital Management Ltd Reduced -3,923,612-3.9m
GENERATION INVESTMENT MANAGEMENT LLP Sold out -3,735,643-3.7m
COATUE MANAGEMENT LLC Reduced -3,484,479-3.5m
MORGAN STANLEY Reduced -3,237,424-3.2m
STATE STREET CORP Reduced -2,764,043-2.8m
UBS Group AG Reduced -2,699,221-2.7m
JPMORGAN CHASE & CO Reduced -2,368,615-2.4m
BSN CAPITAL PARTNERS Ltd Sold out -2,257,845-2.3m

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $1.4bn13.6m shares
JANE STREET GROUP, LLC Added $1.3bn12.4m shares
CITADEL ADVISORS LLC Added $1.2bn11.4m shares
BARCLAYS PLC Added $961.5m9.4m shares
CTC LLC Reduced $706.7m68.4k shares
SIMPLEX TRADING, LLC Added $629.1m6.2m shares
IMC-Chicago, LLC Added $479.7m4.7m shares
GOLDMAN SACHS GROUP INC Reduced $426.7m4.2m shares
NOMURA HOLDINGS INC Added $391.4m3.8m shares
GROUP ONE TRADING LLC Reduced $322.1m3.2m shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $1.0bn9.9m shares
CITADEL ADVISORS LLC Added $971.1m9.5m shares
JANE STREET GROUP, LLC Added $595.5m5.8m shares
GOLDMAN SACHS GROUP INC Added $531.9m5.2m shares
CTC LLC Added $379.6m36.7k shares
MILLENNIUM MANAGEMENT LLC Added $346.1m3.4m shares
SIMPLEX TRADING, LLC Added $328.5m3.2m shares
Laurion Capital Management LP Reduced $319.1m3.1m shares
D. E. Shaw & Co., Inc. Reduced $279.8m2.7m shares
Parallax Volatility Advisers, L.P. Added $268.0m2.6m shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Insider purchases and sales in Q1 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q1 2023.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 PRIMECAP MANAGEMENT CO/CA/ 1.54% of their portfolio PASADENA, CA 17,283,27717.3m $1.8bn $1.8bn 1.54% Added +4.7k +4,650
2 FMR LLC 0.06% of their portfolio BOSTON, MA 13,026,29613.0m $1.3bn $1.3bn 0.06% Added +7.1m +7,124,543
3 Dodge & Cox 0.88% of their portfolio San Francisco, CA 12,633,81212.6m $1.3bn $1.3bn 0.88% Reduced -1.3m -1,345,258
4 PRICE T ROWE ASSOCIATES INC /MD/ 0.17% of their portfolio BALTIMORE, MD 11,034,18711.0m $1.1bn $1.1bn 0.17% Added +3.1m +3,124,057
5 FIL Ltd 1.25% of their portfolio HAMILTON, D0 10,671,16710.7m $1.1bn $1.1bn 1.25% Reduced -217.6k -217,637
6 MORGAN STANLEY 0.10% of their portfolio NEW YORK, NY 9,578,0909.6m $978.7m $978.7m 0.10% Reduced -3.2m -3,237,424
7 Temasek Holdings (Private) Ltd 5.80% of their portfolio SINGAPORE, U0 9,563,8149.6m $977.2m $977.2m 5.80% Added +352.8k +352,817
8 BANK OF AMERICA CORP /DE/ 0.11% of their portfolio CHARLOTTE, NC 9,443,6779.4m $965.0m $965.0m 0.11% Added +1.5m +1,478,767
9 GOLDMAN SACHS GROUP INC 0.25% of their portfolio NEW YORK, NY 9,148,6289.1m $934.8m $934.8m 0.25% Reduced -12.4m -12,432,008
10 HSBC HOLDINGS PLC 1.10% of their portfolio LONDON, X0 8,360,6028.4m $854.4m $854.4m 1.10% Reduced -4.7m -4,725,266
11 Aspex Management (HK) Ltd 18.27% of their portfolio CENTRAL, K3 7,281,4497.3m $744.0m $744.0m 18.27% Added +1.1m +1,072,018
12 JPMORGAN CHASE & CO 0.09% of their portfolio NEW YORK, NY 6,947,1226.9m $709.9m $709.9m 0.09% Reduced -2.4m -2,368,615
13 Artisan Partners Limited Partnership 0.96% of their portfolio Milwaukee, WI 5,652,8665.7m $577.6m $577.6m 0.96% Added +1.2m +1,244,251
14 LOOMIS SAYLES & CO L P 1.00% of their portfolio BOSTON, MA 5,644,3475.6m $576.7m $576.7m 1.00% Reduced -148.6k -148,575
15 BlackRock Inc. 0.02% of their portfolio New York, NY 5,340,0625.3m $545.6m $545.6m 0.02% Reduced -40.9k -40,885
16 ALKEON CAPITAL MANAGEMENT LLC 3.02% of their portfolio New York, NY 4,614,6324.6m $471.5m $471.5m 3.02% Added +2.4m +2,382,175
17 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.21% of their portfolio NEW YORK, NY 4,337,6624.3m $443.2m $443.2m 0.21% Reduced -354.1k -354,130
18 NORGES BANK 0.09% of their portfolio OSLO, Q8 4,111,4394.1m $420.1m $420.1m 0.09% Added +3.1m +3,053,830
19 DIMENSIONAL FUND ADVISORS LP 0.14% of their portfolio AUSTIN, TX 3,990,7614.0m $407.9m $407.9m 0.14% Added +69.5k +69,479
20 Fisher Asset Management, LLC 0.24% of their portfolio PLANO, TX 3,862,5793.9m $394.7m $394.7m 0.24% Added +24.3k +24,309
21 HHLR ADVISORS, LTD. 6.86% of their portfolio GRAND CAYMAN, E9 3,785,1163.8m $386.8m $386.8m 6.86% Added +662.3k +662,316
22 Nuveen Asset Management, LLC 0.14% of their portfolio CHICAGO, IL 3,737,7513.7m $381.9m $381.9m 0.14% Added +2.6m +2,591,229
23 Jericho Capital Asset Management L.P. 15.41% of their portfolio LOS ANGELES, CA 3,632,9693.6m $371.2m $371.2m 15.41% Added +826.0k +826,000
24 MARSHALL WACE, LLP 0.88% of their portfolio LONDON, X0 3,516,0903.5m $359.3m $359.3m 0.88% Added +441.9k +441,878
25 Carmignac Gestion 5.88% of their portfolio PARIS, I0 3,452,7223.5m $352.8m $352.8m 5.88% Reduced -163.1k -163,076
26 LAZARD ASSET MANAGEMENT LLC 0.44% of their portfolio NEW YORK, NY 3,301,1043.3m $337.3m $337.3m 0.44% Added +1.0m +1,017,845
27 JANE STREET GROUP, LLC 0.55% of their portfolio NEW YORK, NY 3,130,1493.1m $319.8m $319.8m 0.55% Reduced -803.0k -803,013
28 H&H International Investment, LLC 2.40% of their portfolio PALO ALTO, CA 3,117,1003.1m $318.5m $318.5m 2.40% Added +12.7k +12,700
29 WELLCOME TRUST LTD (THE) as trustee of the WELLCOME TRUST 4.26% of their portfolio LONDON, X0 2,985,9003.0m $305.1m $305.1m 4.26% Reduced -88.6k -88,583
30 Brookfield Corp /ON/ 1.18% of their portfolio TORONTO, A6 2,936,1752.9m $300.0m $300.0m 1.18% Added +7.7k +7,685
31 Hudson Bay Capital Management LP 1.75% of their portfolio STAMFORD, CT 2,904,6302.9m $296.8m $296.8m 1.75% Added +2.7m +2,654,530
32 ROYAL BANK OF CANADA 0.08% of their portfolio TORONTO, A6 2,681,1312.7m $274.0m $274.0m 0.08% Added +96.1k +96,065
33 Handelsbanken Fonder AB 1.58% of their portfolio STOCKHOLM, V7 2,667,3802.7m $272.6m $272.6m 1.58% Added +556.5k +556,549
34 Point72 Asset Management, L.P. 0.96% of their portfolio STAMFORD, CT 2,641,9932.6m $270.0m $270.0m 0.96% Added +491.4k +491,441
35 MACQUARIE GROUP LTD 0.30% of their portfolio Sydney, NSW 2000, C3 2,446,9542.4m $250.0m $250.0m 0.30% Reduced -32.0k -32,024
36 Allspring Global Investments Holdings, LLC 0.41% of their portfolio CHARLOTTE, NC 2,424,9992.4m $247.8m $247.8m 0.41% Added +36.6k +36,569
37 HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND 1.39% of their portfolio TORONTO, A6 2,401,9002.4m $245.4m $245.4m 1.39% Reduced -411.1k -411,100
38 AMERICAN CENTURY COMPANIES INC 0.19% of their portfolio KANSAS CITY, MO 2,392,4622.4m $244.5m $244.5m 0.19% Added +236.2k +236,183
39 Invesco Ltd. 0.07% of their portfolio ATLANTA, GA 2,325,3962.3m $237.6m $237.6m 0.07% Added +349.6k +349,617
40 BAMCO INC /NY/ 0.69% of their portfolio NEW YORK, NY 2,251,6482.3m $230.1m $230.1m 0.69% Added +234.9k +234,887
41 RWWM, INC. 29.55% of their portfolio ROCKLIN, CA 2,233,7312.2m $228.2m $228.2m 29.55% Reduced -183.1k -183,097
42 MOORE CAPITAL MANAGEMENT, LP 6.95% of their portfolio NEW YORK, NY 2,182,5622.2m $223.0m $223.0m 6.95% Added +2.0m +1,965,668
43 SCHRODER INVESTMENT MANAGEMENT GROUP 0.33% of their portfolio London, X0 2,179,4422.2m $222.7m $222.7m 0.33% Reduced -1.1k -1,118
44 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 2,172,5512.2m $28.9m $28.9m 0.01% Added +1.9m +1,883,022
45 Discerene Group LP 27.62% of their portfolio STAMFORD, CT 2,096,1382.1m $214.2m $214.2m 27.62% Added +192.4k +192,400
46 Hao Advisors Management Ltd 70.80% of their portfolio HONG KONG, K3 2,000,0002.0m $204.4m $204.4m 70.80% Unchanged
47 Legal & General Group Plc 0.07% of their portfolio London, X0 1,987,8572.0m $203.1m $203.1m 0.07% Reduced -91.3k -91,315
48 DEUTSCHE BANK AG\ 0.11% of their portfolio FRANKFURT AM MAIN, 2M 1,887,3111.9m $192.8m $192.8m 0.11% Reduced -555.8k -555,819
49 NORDEA INVESTMENT MANAGEMENT AB 0.28% of their portfolio STOCKHOLM, V7 1,876,9621.9m $191.0m $191.0m 0.28% Reduced -7.4k -7,382
50 Man Group plc 0.67% of their portfolio LONDON, X0 1,831,4261.8m $187.1m $187.1m 0.67% New
51 MARTIN CURRIE LTD 6.58% of their portfolio EDINBURGH, X0 1,803,4851.8m $184.3m $184.3m 6.58% Added +172.5k +172,458
52 FARALLON CAPITAL MANAGEMENT, L.L.C. 1.12% of their portfolio SAN FRANCISCO, CA 1,800,0001.8m $183.9m $183.9m 1.12% Reduced -861.0k -861,000
53 MILLENNIUM MANAGEMENT LLC 0.19% of their portfolio NEW YORK, NY 1,761,6761.8m $162.6m $162.6m 0.19% Added +368.9k +368,879
54 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.28% of their portfolio BALA CYNWYD, PA 1,742,2261.7m $178.0m $178.0m 0.28% Reduced -744.8k -744,804
55 D1 Capital Partners L.P. 3.33% of their portfolio New York, NY 1,730,4041.7m $176.8m $176.8m 3.33% Added +800.4k +800,404
56 UBS Group AG 0.08% of their portfolio ZURICH, V8 1,700,3261.7m $173.7m $173.7m 0.08% Reduced -2.7m -2,699,221
57 ARGA Investment Management, LP 6.47% of their portfolio STAMFORD, CT 1,695,4101.7m $173.2m $173.2m 6.47% Reduced -45.3k -45,280
58 ALLIANCEBERNSTEIN L.P. 0.07% of their portfolio NASHVILLE, TN 1,648,5221.6m $168.4m $168.4m 0.07% Added +216.4k +216,399
59 COATUE MANAGEMENT LLC 1.03% of their portfolio New York, NY 1,516,9241.5m $155.0m $155.0m 1.03% Reduced -3.5m -3,484,479
60 Alpine Investment Management Ltd 31.01% of their portfolio HONG KONG, K3 1,450,0001.4m $148.2m $148.2m 31.01% Reduced -2.2m -2,250,000
61 Ruffer LLP 5.10% of their portfolio LONDON, X0 1,441,7601.4m $147.3m $147.3m 5.10% Added +1.3m +1,321,178
62 STATE STREET CORP 0.01% of their portfolio BOSTON, MA 1,438,1641.4m $147.0m $147.0m 0.01% Reduced -2.8m -2,764,043
63 Hardman Johnston Global Advisors LLC 4.76% of their portfolio Stamford, CT 1,425,1421.4m $145.6m $145.6m 4.76% New
64 WELLINGTON MANAGEMENT GROUP LLP 0.03% of their portfolio Boston, MA 1,412,3711.4m $144.3m $144.3m 0.03% Added +132.9k +132,902
65 GEODE CAPITAL MANAGEMENT, LLC 0.02% of their portfolio BOSTON, MA 1,410,6031.4m $144.1m $144.1m 0.02% Added +102.8k +102,796
66 FEDERATED HERMES, INC. 0.35% of their portfolio PITTSBURGH, PA 1,359,5041.4m $138.9m $138.9m 0.35% Added +625.9k +625,869
67 CITADEL ADVISORS LLC 0.15% of their portfolio MIAMI, FL 1,348,5861.3m $137.8m $137.8m 0.15% Added +114.3k +114,268
68 CAUSEWAY CAPITAL MANAGEMENT LLC 3.26% of their portfolio LOS ANGELES, CA 1,332,0961.3m $136.1m $136.1m 3.26% Reduced -52.7k -52,742
69 Third Point LLC 2.22% of their portfolio NEW YORK, NY 1,326,4501.3m $135.5m $135.5m 2.22% New
70 VONTOBEL ASSET MANAGEMENT INC 0.97% of their portfolio NEW YORK, NY 1,318,9871.3m $134.1m $134.1m 0.97% Added +1.1m +1,091,041
71 STRS OHIO 0.20% of their portfolio COLUMBUS, OH 1,259,9311.3m $128.7m $128.7m 0.20% Added +808.4k +808,438
72 CITIGROUP INC 0.16% of their portfolio NEW YORK, NY 1,195,3991.2m $122.1m $122.1m 0.16% Added +206.8k +206,758
73 Cryder Capital Partners LLP 6.45% of their portfolio LONDON, X0 1,186,2241.2m $121.2m $121.2m 6.45% Added +40.2k +40,169
74 Amundi 0.06% of their portfolio Paris, I0 1,142,9241.1m $112.6m $112.6m 0.06% Added +90.4k +90,434
75 NATIONAL BANK OF CANADA /FI/ 0.31% of their portfolio MONTREAL, A8 1,127,2881.1m $115.2m $115.2m 0.31% Reduced -536.4k -536,355
76 RWC ASSET ADVISORS (US) LLC 8.62% of their portfolio MIAMI, FL 1,109,0241.1m $113.3m $113.3m 8.62% Reduced -285.4k -285,374
77 SG Americas Securities, LLC 1.49% of their portfolio NEW YORK, NY 1,083,3881.1m $110.7m $110.7m 1.49% Added +1.0m +1,012,805
78 GROUP ONE TRADING LLC 5.22% of their portfolio CHICAGO, IL 1,075,0501.1m $109.8m $109.8m 5.22% Added +813.5k +813,529
79 BARCLAYS PLC 0.11% of their portfolio LONDON, X0 1,040,8221.0m $106.4m $106.4m 0.11% Reduced -1.5m -1,461,032
80 PUBLIC INVESTMENT FUND 0.30% of their portfolio AL AQIQ DISTRICT, RIYADH, T0 1,035,6761.0m $105.8m $105.8m 0.30% Unchanged
81 AXA S.A. 0.36% of their portfolio PARIS, I0 1,034,8291.0m $105.7m $105.7m 0.36% Added +184.3k +184,298
82 ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 0.14% of their portfolio BOSTON, MA 1,021,7531.0m $104.4m $104.4m 0.14% New
83 Whale Rock Capital Management LLC 2.28% of their portfolio Boston, MA 1,011,3601.0m $103.3m $103.3m 2.28% New
84 HCEP Management Ltd 20.22% of their portfolio HONG KONG, K3 1,000,0001.0m $102.2m $102.2m 20.22% Unchanged
85 Kirkoswald Asset Management LLC 50.14% of their portfolio NEW YORK, NY 985,400985.4k $100.7m $100.7m 50.14% New
86 NORTHERN TRUST CORP 0.02% of their portfolio CHICAGO, IL 972,937972.9k $99.4m $99.4m 0.02% Added +13.2k +13,232
87 SEI INVESTMENTS CO 0.18% of their portfolio OAKS, PA 969,258969.3k $99.0m $99.0m 0.18% Added +284.4k +284,411
88 Point72 Hong Kong Ltd 23.87% of their portfolio HONG KONG, K3 958,495958.5k $97.9m $97.9m 23.87% Added +252.2k +252,226
89 Parsifal Capital Management, LP 7.74% of their portfolio GREENWICH, CT 956,278956.3k $97.7m $97.7m 7.74% New
90 BNP PARIBAS FINANCIAL MARKETS 0.21% of their portfolio PARIS, I0 942,909942.9k $96.3m $96.3m 0.21% Added +96.7k +96,733
91 Origin Asset Management LLP 27.54% of their portfolio LONDON, X0 919,706919.7k $94.0m $94.0m 27.54% Added +4.1k +4,100
92 PLATINUM INVESTMENT MANAGEMENT LTD 3.16% of their portfolio SYDNEY AUSTRALIA 2000, C3 889,942889.9k $90.9m $90.9m 3.16% Reduced -427.3k -427,317
93 CIBC Private Wealth Group LLC 0.10% of their portfolio ATLANTA, GA 878,202878.2k $89.7m $89.7m 0.10% Added +473.2k +473,163
94 Polar Capital Holdings Plc 0.64% of their portfolio London, X0 850,581850.6k $86.9m $86.9m 0.64% Reduced -187.6k -187,615
95 TT International Asset Management LTD 9.36% of their portfolio LONDON, X0 836,499836.5k $85.5m $85.5m 9.36% Reduced -745.6k -745,638
96 Balyasny Asset Management L.P. 0.27% of their portfolio Chicago, IL 800,652800.7k $81.8m $81.8m 0.27% Added +400.1k +400,092
97 RENAISSANCE TECHNOLOGIES LLC 0.10% of their portfolio NEW YORK, NY 767,192767.2k $78.4m $78.4m 0.10% Reduced -141.6k -141,600
98 GMT Capital Corp 3.05% of their portfolio ATLANTA, GA 761,900761.9k $77.9m $77.9m 3.05% Added +196.3k +196,300
99 D. E. Shaw & Co., Inc. 0.12% of their portfolio New York, NY 750,253750.3k $76.7m $76.7m 0.12% Added +103.6k +103,606
100 NEUBERGER BERMAN GROUP LLC 0.07% of their portfolio NEW YORK, NY 737,381737.4k $75.5m $75.5m 0.07% Added +79.8k +79,781