Vault-13

ALIBABA GROUP HLDG LTD BABA

SPONSORED ADS · ADR · CUSIP 01609W102 · ISIN US01609W1027

Chinese multinational technology company

1,161 institutional holders +2 vs Q2 2023
353,157,273353.2m shares reported held*
$30.9bnreported value*
105 new 397 added 401 reduced 98 sold out net sold ≈ $1.2bn (-16.4m 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 ($85.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $87.60. Options: 93 managers hold calls ($8.0bn notional), 59 hold puts ($5.7bn).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

05001k1.5kQ3 22: 1,144Q4 22: 1,175Q1 23: 1,254Q2 23: 1,159Q3 23: 1,1611,161Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 20221,144
Q4 20221,175
Q1 20231,254
Q2 20231,159
Q3 20231,161

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 23Q2 23: 482 bought or addedQ2 23: 600 cut or sold outQ2 23Q3 23: 502 bought or addedQ3 23: 499 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022427623
Q1 2023624480
Q2 2023482600
Q3 2023502499

Calls vs puts

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

CallsPuts
$0$5bn$10bn$15bnQ4 22 calls: $8.6bnQ4 22 puts: $5.2bnQ4 22P/C 0.60Q1 23 calls: $11.1bnQ1 23 puts: $6.5bnQ1 23P/C 0.58Q2 23 calls: $7.9bnQ2 23 puts: $5.1bnQ2 23P/C 0.65Q3 23 calls: $8.0bnQ3 23 puts: $5.7bnQ3 23P/C 0.71
Numbers
QuarterCallsPutsP/C
Q4 2022$8.6bn$5.2bn0.60
Q1 2023$11.1bn$6.5bn0.58
Q2 2023$7.9bn$5.1bn0.65
Q3 2023$8.0bn$5.7bn0.71

Biggest buyers

Sanders Capital, LLC Added +11,473,618+11.5m
JPMORGAN CHASE & CO Added +3,513,674+3.5m
Assenagon Asset Management S.A. Added +3,464,723+3.5m
Man Group plc New +2,286,938+2.3m
JANE STREET GROUP, LLC Added +1,985,959+2.0m
Dodge & Cox Added +1,493,300+1.5m
TIGER GLOBAL MANAGEMENT LLC New +1,476,745+1.5m
MORGAN STANLEY Added +1,406,491+1.4m
AMERICAN CENTURY COMPANIES INC Added +1,389,233+1.4m
GOLDMAN SACHS GROUP INC Added +1,192,984+1.2m

Biggest sellers

BNP PARIBAS FINANCIAL MARKETS Reduced -17,729,923-17.7m
Third Point LLC Sold out -2,950,000-3.0m
ALKEON CAPITAL MANAGEMENT LLC Reduced -2,355,707-2.4m
Man Group plc Sold out -2,144,598-2.1m
Nuveen Asset Management, LLC Reduced -1,649,103-1.6m
VANGUARD GROUP INC Sold out -1,640,221-1.6m
HCEP Management Ltd Sold out -1,495,600-1.5m
MARSHALL WACE, LLP Reduced -1,484,377-1.5m
NATIONAL BANK OF CANADA /FI/ Reduced -1,352,367-1.4m
HHLR ADVISORS, LTD. Reduced -1,232,080-1.2m

Biggest calls

JANE STREET GROUP, LLC Added $922.3m10.6m shares
CITADEL ADVISORS LLC Added $888.3m10.2m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $819.0m9.4m shares
NOMURA HOLDINGS INC Reduced $583.9m6.7m shares
SIMPLEX TRADING, LLC Reduced $568.3m6.6m shares
Lighthouse Investment Partners, LLC Added $430.9m5.0m shares
CTC LLC Reduced $398.0m45.9k shares
IMC-Chicago, LLC Reduced $313.3m3.6m shares
BlackRock Inc. New $297.3m3.4m shares
UBS Group AG Added $272.5m3.1m shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $765.4m8.8m shares
JANE STREET GROUP, LLC Added $564.5m6.5m shares
MILLENNIUM MANAGEMENT LLC Added $524.1m6.0m shares
CITADEL ADVISORS LLC Reduced $476.8m5.5m shares
CTC LLC Reduced $329.7m38.0k shares
D. E. Shaw & Co., Inc. Reduced $323.0m3.7m shares
SIMPLEX TRADING, LLC Added $279.2m3.2m shares
GOLDMAN SACHS GROUP INC Reduced $246.0m2.8m shares
Laurion Capital Management LP Reduced $212.8m2.5m shares
GTS SECURITIES LLC New $182.7m2.1m 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 Q3 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 Q3 2023.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 PRIMECAP MANAGEMENT CO/CA/ 1.27% of their portfolio PASADENA, CA 17,343,27217.3m $1.5bn $1.5bn 1.27% Reduced -9.2k -9,207
2 Dodge & Cox 0.94% of their portfolio San Francisco, CA 16,091,47016.1m $1.4bn $1.4bn 0.94% Added +1.5m +1,493,300
3 Sanders Capital, LLC 2.75% of their portfolio West Palm Beach, FL 15,029,23815.0m $1.3bn $1.3bn 2.75% Added +11.5m +11,473,618
4 PRICE T ROWE ASSOCIATES INC /MD/ 0.15% of their portfolio BALTIMORE, MD 11,912,37011.9m $1.0bn $1.0bn 0.15% Reduced -764.4k -764,358
5 MORGAN STANLEY 0.10% of their portfolio NEW YORK, NY 11,610,07811.6m $1.0bn $1.0bn 0.10% Added +1.4m +1,406,491
6 JPMORGAN CHASE & CO 0.11% of their portfolio NEW YORK, NY 11,142,62011.1m $966.5m $966.5m 0.11% Added +3.5m +3,513,674
7 GOLDMAN SACHS GROUP INC 0.22% of their portfolio NEW YORK, NY 9,825,5289.8m $852.3m $852.3m 0.22% Added +1.2m +1,192,984
8 FIL Ltd 0.99% of their portfolio HAMILTON, D0 9,646,8599.6m $836.8m $836.8m 0.99% Reduced -329.8k -329,825
9 Temasek Holdings (Private) Ltd 4.94% of their portfolio SINGAPORE, U0 9,563,8149.6m $829.6m $829.6m 4.94% Unchanged
10 BANK OF AMERICA CORP /DE/ 0.09% of their portfolio CHARLOTTE, NC 8,593,7338.6m $745.4m $745.4m 0.09% Added +143.6k +143,556
11 JANE STREET GROUP, LLC 0.95% of their portfolio NEW YORK, NY 7,043,3287.0m $610.9m $610.9m 0.95% Added +2.0m +1,985,959
12 HSBC HOLDINGS PLC 0.67% of their portfolio LONDON, X0 6,995,6607.0m $606.9m $606.9m 0.67% Reduced -1.1m -1,050,203
13 FMR LLC 0.04% of their portfolio BOSTON, MA 5,840,3365.8m $506.6m $506.6m 0.04% Reduced -578.3k -578,344
14 Aspex Management (HK) Ltd 14.15% of their portfolio CENTRAL, K3 5,300,3165.3m $459.7m $459.7m 14.15% Reduced -314.0k -314,035
15 LOOMIS SAYLES & CO L P 0.79% of their portfolio BOSTON, MA 5,284,5945.3m $458.4m $458.4m 0.79% Reduced -206.5k -206,527
16 BlackRock Inc. 0.01% of their portfolio New York, NY 4,625,7434.6m $401.2m $401.2m 0.01% Reduced -470.3k -470,273
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.61% of their portfolio BALA CYNWYD, PA 4,503,5334.5m $390.6m $390.6m 0.61% Reduced -450.3k -450,292
18 Assenagon Asset Management S.A. 1.28% of their portfolio SENNINGERBERG, N4 4,215,8844.2m $365.7m $365.7m 1.28% Added +3.5m +3,464,723
19 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.16% of their portfolio NEW YORK, NY 4,169,3194.2m $361.6m $361.6m 0.16% Reduced -168.3k -168,343
20 NORGES BANK 0.07% of their portfolio OSLO, Q8 3,905,3053.9m $338.7m $338.7m 0.07% Reduced -83.5k -83,532
21 Fisher Asset Management, LLC 0.19% of their portfolio PLANO, TX 3,853,6333.9m $334.3m $334.3m 0.19% Added +1.9k +1,870
22 APPALOOSA LP 6.16% of their portfolio Short Hills, NJ 3,600,0003.6m $312.3m $312.3m 6.16% Reduced -875.0k -875,000
23 ROYAL BANK OF CANADA 0.09% of their portfolio TORONTO, A6 3,568,2803.6m $309.5m $309.5m 0.09% Added +652.7k +652,671
24 AMERICAN CENTURY COMPANIES INC 0.23% of their portfolio KANSAS CITY, MO 3,508,3923.5m $304.3m $304.3m 0.23% Added +1.4m +1,389,233
25 DIMENSIONAL FUND ADVISORS LP 0.09% of their portfolio AUSTIN, TX 3,249,9903.2m $281.9m $281.9m 0.09% Reduced -706.3k -706,271
26 LAZARD ASSET MANAGEMENT LLC 0.38% of their portfolio NEW YORK, NY 3,192,2023.2m $276.9m $276.9m 0.38% Reduced -419.6k -419,615
27 ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 0.32% of their portfolio BOSTON, MA 3,092,1493.1m $268.2m $268.2m 0.32% Added +157.6k +157,606
28 H&H International Investment, LLC 1.99% of their portfolio PALO ALTO, CA 3,040,5003.0m $263.7m $263.7m 1.99% Reduced -467.1k -467,100
29 WELLCOME TRUST LTD (THE) as trustee of the WELLCOME TRUST 3.15% of their portfolio LONDON, X0 2,735,9002.7m $237.3m $237.3m 3.15% Unchanged
30 Brookfield Corp /ON/ 1.48% of their portfolio TORONTO, A6 2,734,1152.7m $237.2m $237.2m 1.48% Reduced -194.4k -194,375
31 BAMCO INC /NY/ 0.68% of their portfolio NEW YORK, NY 2,705,4482.7m $234.7m $234.7m 0.68% Reduced -4.7k -4,717
32 MACQUARIE GROUP LTD 0.29% of their portfolio Sydney, NSW 2000, C3 2,687,9362.7m $233.2m $233.2m 0.29% Reduced -32.4k -32,408
33 HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND 0.98% of their portfolio TORONTO, A6 2,480,2002.5m $215.1m $215.1m 0.98% Added +18.9k +18,900
34 UBS Group AG 0.10% of their portfolio ZURICH, V8 2,457,6642.5m $213.2m $213.2m 0.10% Added +157.8k +157,760
35 RWWM, INC. 27.08% of their portfolio ROCKLIN, CA 2,328,3182.3m $202.0m $202.0m 27.08% Reduced -96.4k -96,398
36 Discerene Group LP 24.43% of their portfolio STAMFORD, CT 2,290,0382.3m $198.6m $198.6m 24.43% Added +93.1k +93,100
37 Man Group plc 0.62% of their portfolio LONDON, X0 2,286,9382.3m $198.4m $198.4m 0.62% New
38 Allspring Global Investments Holdings, LLC 0.34% of their portfolio CHARLOTTE, NC 2,224,2272.2m $192.9m $192.9m 0.34% Reduced -356.9k -356,923
39 Carmignac Gestion 3.51% of their portfolio PARIS, I0 2,207,0702.2m $191.4m $191.4m 3.51% Reduced -689.9k -689,935
40 WELLINGTON MANAGEMENT GROUP LLP 0.04% of their portfolio Boston, MA 2,156,4442.2m $187.0m $187.0m 0.04% Reduced -281.8k -281,844
41 SCHRODER INVESTMENT MANAGEMENT GROUP 0.27% of their portfolio London, X0 2,067,8732.1m $179.4m $179.4m 0.27% Reduced -17.5k -17,538
42 HHLR ADVISORS, LTD. 3.93% of their portfolio GRAND CAYMAN, E9 2,030,4472.0m $176.1m $176.1m 3.93% Reduced -1.2m -1,232,080
43 Legal & General Group Plc 0.06% of their portfolio London, X0 1,973,8582.0m $171.2m $171.2m 0.06% Reduced -292 -292
44 CREDIT SUISSE AG/ 0.17% of their portfolio ZURICH, V8 1,929,0721.9m $167.3m $167.3m 0.17% Added +1.2m +1,153,809
45 Capital International Investors 0.04% of their portfolio Los Angeles, CA 1,925,7091.9m $167.0m $167.0m 0.04% Added +141.0k +140,996
46 MARTIN CURRIE LTD 5.95% of their portfolio EDINBURGH, X0 1,916,3671.9m $166.2m $166.2m 5.95% Added +34.0k +33,954
47 Hardman Johnston Global Advisors LLC 5.57% of their portfolio Stamford, CT 1,915,1491.9m $166.1m $166.1m 5.57% Added +490.9k +490,929
48 NORDEA INVESTMENT MANAGEMENT AB 0.23% of their portfolio STOCKHOLM, V7 1,878,1811.9m $163.4m $163.4m 0.23% Reduced -55.7k -55,697
49 ALLIANCEBERNSTEIN L.P. 0.06% of their portfolio NASHVILLE, TN 1,705,0341.7m $147.9m $147.9m 0.06% Added +89.4k +89,444
50 ALKEON CAPITAL MANAGEMENT LLC 0.91% of their portfolio New York, NY 1,653,2371.7m $143.4m $143.4m 0.91% Reduced -2.4m -2,355,707
51 MILLENNIUM MANAGEMENT LLC 0.15% of their portfolio NEW YORK, NY 1,649,1231.6m $143.0m $143.0m 0.15% Reduced -330.1k -330,062
52 FEDERATED HERMES, INC. 0.38% of their portfolio PITTSBURGH, PA 1,641,4941.6m $142.4m $142.4m 0.38% Added +43.3k +43,285
53 Alpine Investment Management Ltd 50.21% of their portfolio HONG KONG, K3 1,589,4201.6m $137.9m $137.9m 50.21% Added +14.4k +14,420
54 Handelsbanken Fonder AB 0.77% of their portfolio STOCKHOLM, V7 1,586,3431.6m $137.6m $137.6m 0.77% Reduced -127.4k -127,360
55 ARGA Investment Management, LP 5.50% of their portfolio STAMFORD, CT 1,559,0631.6m $135.2m $135.2m 5.50% Reduced -121.3k -121,262
56 TIGER GLOBAL MANAGEMENT LLC 0.94% of their portfolio New York, NY 1,476,7451.5m $128.1m $128.1m 0.94% New
57 Invesco Ltd. 0.03% of their portfolio ATLANTA, GA 1,472,4541.5m $127.7m $127.7m 0.03% Reduced -425.9k -425,885
58 PUBLIC INVESTMENT FUND 0.35% of their portfolio AL AQIQ DISTRICT, RIYADH, T0 1,457,1011.5m $126.4m $126.4m 0.35% Unchanged
59 Nuveen Asset Management, LLC 0.04% of their portfolio CHICAGO, IL 1,390,2951.4m $120.6m $120.6m 0.04% Reduced -1.6m -1,649,103
60 Ruffer LLP 6.22% of their portfolio LONDON, X0 1,312,8201.3m $112.3m $112.3m 6.22% Added +500.7k +500,680
61 ANTIPODES PARTNERS Ltd 3.34% of their portfolio ROYAL EXCHANGE, C3 1,214,3571.2m $103.9m $103.9m 3.34% Reduced -73.7k -73,668
62 Cryder Capital Partners LLP 4.98% of their portfolio LONDON, X0 1,188,4921.2m $103.1m $103.1m 4.98% Added +336 +336
63 EMINENCE CAPITAL, LP 2.00% of their portfolio NEW YORK, NY 1,167,3171.2m $101.3m $101.3m 2.00% Added +33.7k +33,661
64 L1 Capital Pty Ltd 8.61% of their portfolio MELBOURNE VIC 3000, C3 1,165,7121.2m $101.1m $101.1m 8.61% Added +129.8k +129,782
65 CAUSEWAY CAPITAL MANAGEMENT LLC 2.59% of their portfolio LOS ANGELES, CA 1,129,7481.1m $98.0m $98.0m 2.59% Added +173.5k +173,468
66 GMT Capital Corp 3.65% of their portfolio ATLANTA, GA 1,116,7001.1m $96.9m $96.9m 3.65% Added +229.0k +229,000
67 Walleye Trading LLC 2.18% of their portfolio NEW YORK, NY 1,074,6711.1m $93.2m $93.2m 2.18% New
68 Segantii Capital Management Ltd 3.51% of their portfolio HONG KONG, K3 1,068,6071.1m $93.4m $93.4m 3.51% Reduced -798.6k -798,619
69 DEUTSCHE BANK AG\ 0.06% of their portfolio FRANKFURT AM MAIN, 2M 1,027,2691.0m $89.1m $89.1m 0.06% Reduced -171.0k -170,999
70 Broad Peak Investment Holdings Ltd. 11.38% of their portfolio SINGAPORE, U0 1,009,6081.0m $87.6m $87.6m 11.38% Unchanged
71 VOYA INVESTMENT MANAGEMENT LLC 0.09% of their portfolio ATLANTA, GA 976,135976.1k $84.7m $84.7m 0.09% Added +956.4k +956,395
72 Russell Investments Group, Ltd. 0.17% of their portfolio Seattle, WA 971,556971.6k $84.3m $84.3m 0.17% Added +391.2k +391,222
73 AXA S.A. 0.29% of their portfolio PARIS, I0 947,260947.3k $82.2m $82.2m 0.29% Reduced -176.6k -176,641
74 Origin Asset Management LLP 27.34% of their portfolio LONDON, X0 947,206947.2k $82.2m $82.2m 27.34% Reduced -2.2k -2,200
75 NORTHERN TRUST CORP 0.02% of their portfolio CHICAGO, IL 943,228943.2k $81.8m $81.8m 0.02% Reduced -40.5k -40,480
76 VONTOBEL ASSET MANAGEMENT INC 0.52% of their portfolio NEW YORK, NY 935,803935.8k $80.8m $80.8m 0.52% Reduced -312.9k -312,939
77 WT Asset Management Ltd 8.71% of their portfolio HONG KONG, K3 904,442904.4k $78.5m $78.5m 8.71% New
78 Point72 Asset Management, L.P. 0.26% of their portfolio STAMFORD, CT 879,563879.6k $76.3m $76.3m 0.26% Reduced -81.8k -81,800
79 FARALLON CAPITAL MANAGEMENT, L.L.C. 0.42% of their portfolio SAN FRANCISCO, CA 862,233862.2k $74.8m $74.8m 0.42% Reduced -1.0m -1,007,767
80 NATIONAL BANK OF CANADA /FI/ 0.13% of their portfolio MONTREAL, A8 831,907831.9k $72.0m $72.0m 0.13% Reduced -1.4m -1,352,367
81 MAVERICK CAPITAL LTD 1.68% of their portfolio DALLAS, TX 830,459830.5k $72.0m $72.0m 1.68% New
82 CITIGROUP INC 0.10% of their portfolio NEW YORK, NY 815,029815.0k $70.7m $70.7m 0.10% Reduced -353.9k -353,934
83 NEUBERGER BERMAN GROUP LLC 0.06% of their portfolio NEW YORK, NY 796,077796.1k $69.1m $69.1m 0.06% Added +25.6k +25,609
84 PLATINUM INVESTMENT MANAGEMENT LTD 2.68% of their portfolio SYDNEY AUSTRALIA 2000, C3 791,620791.6k $68.7m $68.7m 2.68% Reduced -72.0k -71,987
85 RWC ASSET ADVISORS (US) LLC 6.43% of their portfolio MIAMI, FL 773,958774.0k $67.1m $67.1m 6.43% Added +186.3k +186,325
86 THORNBURG INVESTMENT MANAGEMENT INC 1.08% of their portfolio SANTA FE, NM 756,355756.4k $65.5m $65.5m 1.08% Added +12.3k +12,317
87 GROUP ONE TRADING LLC 2.58% of their portfolio CHICAGO, IL 748,737748.7k $64.9m $64.9m 2.58% Reduced -411.6k -411,607
88 Capital International, Inc./CA/ 1.24% of their portfolio Los Angeles, CA 746,491746.5k $64.8m $64.8m 1.24% Added +84.6k +84,616
89 Balyasny Asset Management L.P. 0.18% of their portfolio Chicago, IL 744,266744.3k $64.6m $64.6m 0.18% Added +35.3k +35,257
90 BARCLAYS PLC 0.04% of their portfolio LONDON, X0 743,783743.8k $64.5m $64.5m 0.04% Reduced -227.4k -227,442
91 Taikang Asset Management (Hong Kong) Co Ltd 14.46% of their portfolio HONG KONG, K3 730,000730.0k $495.9k $495.9k 14.46% Added +120.0k +120,000
92 EDMOND DE ROTHSCHILD HOLDING S.A. 1.27% of their portfolio CHAMBESY, V8 726,753726.8k $63.0m $63.0m 1.27% Added +28.6k +28,643
93 HighTower Advisors, LLC 0.12% of their portfolio CHICAGO, IL 723,364723.4k $62.7m $62.7m 0.12% Reduced -38.8k -38,848
94 Parsifal Capital Management, LP 5.09% of their portfolio GREENWICH, CT 691,408691.4k $60.0m $60.0m 5.09% Reduced -192.7k -192,698
95 Point72 Hong Kong Ltd 16.37% of their portfolio HONG KONG, K3 677,392677.4k $58.8m $58.8m 16.37% Added +630.3k +630,316
96 BANK OF MONTREAL /CAN/ 0.07% of their portfolio TORONTO, A6 645,841645.8k $191.8m $191.8m 0.07% Added +32.8k +32,833
97 Patient Capital Management, LLC 3.23% of their portfolio BALTIMORE, MD 634,125634.1k $55.0m $55.0m 3.23% Reduced -36.3k -36,285
98 NATIXIS ADVISORS, LLC 0.17% of their portfolio Boston, MA 627,954628.0k $54.5m $54.5m 0.17% Added +15.1k +15,102
99 Two Creeks Capital Management, LP 3.49% of their portfolio New York, NY 622,879622.9k $54.0m $54.0m 3.49% Unchanged
100 AMF Tjanstepension AB 0.52% of their portfolio STOCKHOLM, V7 621,217621.2k $53.9m $53.9m 0.52% Added +41.3k +41,349