Vault-13

DBX ETF TR ASHR

XTRACK HRVST CSI · ETP · CUSIP 233051879

148 institutional holders +6 vs Q4 2022
46,024,47946.0m shares reported held*
$1.4bnreported value*
34 new 44 added 44 reduced 26 sold out net bought ≈ $119.1m (+4.0m 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. Holder counts are more reliable. Implied quarter-end price ≈ $29.53. Options: 18 managers hold calls ($543.6m notional), 7 hold puts ($80.9m).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 127Q4 22: 142Q1 23: 148148Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022127
Q4 2022142
Q1 2023148

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 67 bought or addedQ4 22: 70 cut or sold outQ4 22Q1 23: 78 bought or addedQ1 23: 70 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226770
Q1 20237870

Calls vs puts

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

CallsPuts
$0$200m$400m$600mQ3 22 calls: $161.8mQ3 22 puts: $163.8mQ3 22P/C 1.01Q4 22 calls: $381.5mQ4 22 puts: $98.1mQ4 22P/C 0.26Q1 23 calls: $543.6mQ1 23 puts: $80.9mQ1 23P/C 0.15
Numbers
QuarterCallsPutsP/C
Q3 2022$161.8m$163.8m1.01
Q4 2022$381.5m$98.1m0.26
Q1 2023$543.6m$80.9m0.15

Biggest buyers

Provida Pension Fund Administrator Added +2,482,540+2.5m
SPX Gestao de Recursos Ltda New +2,004,210+2.0m
CI INVESTMENTS INC. Added +1,647,821+1.6m
Fullerton Fund Management Co Ltd. New +1,467,575+1.5m
Rock Creek Group LLC New +1,464,625+1.5m
MORGAN STANLEY Added +1,289,373+1.3m
JPMORGAN CHASE & CO Added +914,976+915.0k
CITIGROUP INC Added +886,384+886.4k
STRS OHIO Added +640,000+640.0k
TWO SIGMA INVESTMENTS, LP Added +499,840+499.8k

Biggest sellers

JANE STREET GROUP, LLC Reduced -4,549,665-4.5m
Varma Mutual Pension Insurance Co Reduced -3,594,000-3.6m
BlueCrest Capital Management Ltd Sold out -1,100,000-1.1m
UBS Group AG Reduced -625,751-625.8k
HAP Trading, LLC Sold out -608,432-608.4k
BNP PARIBAS FINANCIAL MARKETS Reduced -463,905-463.9k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -456,424-456.4k
OLD MISSION CAPITAL LLC Reduced -363,348-363.3k
Analyst IMS Investment Management Services Ltd. Sold out -360,155-360.2k
BARCLAYS PLC Reduced -348,500-348.5k

Biggest calls

BlackRock Inc. New $193.5m6.6m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $99.2m3.4m shares
BANK OF AMERICA CORP /DE/ Added $74.0m2.5m shares
UBS Group AG Reduced $50.8m1.7m shares
CAPSTONE INVESTMENT ADVISORS, LLC Reduced $23.6m800.0k shares
BlueCrest Capital Management Ltd Added $22.1m750.0k shares
BARCLAYS PLC New $21.8m740.0k shares
BNP PARIBAS FINANCIAL MARKETS Added $20.6m7.0k shares
GOLDMAN SACHS GROUP INC Added $10.3m350.0k shares
Balyasny Asset Management L.P. Reduced $10.3m349.8k shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $30.7m1.0m shares
CITADEL ADVISORS LLC Reduced $16.8m570.0k shares
BANK OF AMERICA CORP /DE/ New $14.7m500.0k shares
GOLDMAN SACHS GROUP INC Unchanged $8.8m300.0k shares
PEAK6 Investments LLC Reduced $8.5m287.4k shares
Walleye Trading LLC Reduced $1.3m45.3k shares
Cutler Group LLC / CA Reduced $57.0k106.4k 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.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.02% of their portfolio NEW YORK, NY 5,082,3635.1m $149.8m $149.8m 0.02% Added +1.3m +1,289,373
2 Provida Pension Fund Administrator 4.53% of their portfolio LAS CONDES, SANTIAGO, F3 3,858,9593.9m $114.2m $114.2m 4.53% Added +2.5m +2,482,540
3 Varma Mutual Pension Insurance Co 1.27% of their portfolio Varma, H9 3,543,6293.5m $104.5m $104.5m 1.27% Reduced -3.6m -3,594,000
4 CITIGROUP INC 0.08% of their portfolio NEW YORK, NY 2,096,7292.1m $61.8m $61.8m 0.08% Added +886.4k +886,384
5 SPX Gestao de Recursos Ltda 3.95% of their portfolio RIO DE JANEIRO, D5 2,004,2102.0m $59.1m $59.1m 3.95% New
6 CI INVESTMENTS INC. 0.29% of their portfolio TORONTO, Z4 1,971,9212.0m $58.1m $58.1m 0.29% Added +1.6m +1,647,821
7 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,762,3921.8m $52.0m $52.0m 0.02% Reduced -625.8k -625,751
8 JPMORGAN CHASE & CO 0.01% of their portfolio NEW YORK, NY 1,609,1511.6m $47.4m $47.4m 0.01% Added +915.0k +914,976
9 TWO SIGMA INVESTMENTS, LP 0.14% of their portfolio NEW YORK, NY 1,600,0001.6m $47.2m $47.2m 0.14% Added +499.8k +499,840
10 Fullerton Fund Management Co Ltd. 3.29% of their portfolio SINGAPORE, U0 1,467,5751.5m $43.3m $43.3m 3.29% New
11 Rock Creek Group LLC 5.59% of their portfolio Washington, DC 1,464,6251.5m $43.2m $43.2m 5.59% New
12 CITADEL ADVISORS LLC 0.04% of their portfolio MIAMI, FL 1,145,0851.1m $33.8m $33.8m 0.04% Added +388.6k +388,618
13 Rafferty Asset Management, LLC 0.21% of their portfolio New York, NY 1,069,3061.1m $31.5m $31.5m 0.21% Added +452.6k +452,578
14 JANE STREET GROUP, LLC 0.05% of their portfolio NEW YORK, NY 1,004,2901.0m $29.6m $29.6m 0.05% Reduced -4.5m -4,549,665
15 STRS OHIO 0.04% of their portfolio COLUMBUS, OH 960,000960.0k $28.3m $28.3m 0.04% Added +640.0k +640,000
16 Driehaus Capital Management LLC 0.39% of their portfolio Chicago, IL 944,075944.1k $27.8m $27.8m 0.39% Reduced -192.6k -192,644
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.04% of their portfolio BALA CYNWYD, PA 913,666913.7k $26.9m $26.9m 0.04% Reduced -456.4k -456,424
18 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 910,160910.2k $26.9m $26.9m 0.01% Added +373.5k +373,498
19 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 878,622878.6k $25.9m $25.9m 0.00% Added +312.5k +312,514
20 FIL Ltd 0.02% of their portfolio HAMILTON, D0 713,536713.5k $21.0m $21.0m 0.02% Added +2.2k +2,233
21 CAUSEWAY CAPITAL MANAGEMENT LLC 0.40% of their portfolio LOS ANGELES, CA 568,908568.9k $16.8m $16.8m 0.40% Reduced -64.3k -64,283
22 AMERIPRISE FINANCIAL INC 0.01% of their portfolio MINNEAPOLIS, MN 530,244530.2k $15.6m $15.6m 0.01% Unchanged
23 BNP PARIBAS FINANCIAL MARKETS 0.03% of their portfolio PARIS, I0 484,858484.9k $14.3m $14.3m 0.03% Reduced -463.9k -463,905
24 OLD MISSION CAPITAL LLC 0.43% of their portfolio CHICAGO, IL 475,779475.8k $14.0m $14.0m 0.43% Reduced -363.3k -363,348
25 CREDIT SUISSE AG/ 0.01% of their portfolio ZURICH, V8 416,750416.8k $12.3m $12.3m 0.01% Reduced -88.9k -88,934
26 BANK OF NOVA SCOTIA 0.03% of their portfolio TORONTO, A6 394,613394.6k $11.6m $11.6m 0.03% New
27 CANTOR FITZGERALD, L. P. 0.25% of their portfolio NEW YORK, NY 392,037392.0k $11.6m $11.6m 0.25% Added +194.3k +194,310
28 SPINNAKER TRUST 0.79% of their portfolio PORTLAND, ME 354,304354.3k $10.4m $10.4m 0.79% Added +9.7k +9,701
29 Balyasny Asset Management L.P. 0.03% of their portfolio Chicago, IL 352,361352.4k $10.4m $10.4m 0.03% New
30 CONNABLE OFFICE INC 1.46% of their portfolio KALAMAZOO, MI 341,936341.9k $10.1m $10.1m 1.46% New
31 Mirae Asset Global Investments Co., Ltd. 0.02% of their portfolio SEOUL, M5 336,520336.5k $9.9m $9.9m 0.02% Added +270.2k +270,220
32 BARINGS LLC 0.32% of their portfolio CHARLOTTE, NC 313,033313.0k $9.2m $9.2m 0.32% New
33 Banco BTG Pactual S.A. 3.68% of their portfolio RIO DE JANEIRO, D5 273,900273.9k $8.0m $8.0m 3.68% New
34 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 260,948260.9k $7.7m $7.7m 0.00% Reduced -80.9k -80,927
35 Harel Insurance Investments & Financial Services Ltd. 0.15% of their portfolio Ramat Gan, L3 255,400255.4k $7.5m $7.5m 0.15% Reduced -10.0k -10,000
36 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 231,727231.7k $6.8m $6.8m 0.00% Reduced -322.6k -322,590
37 Alberta Investment Management Corp 0.06% of their portfolio EDMONTON, A0 220,000220.0k $6.5m $6.5m 0.06% New
38 Summit Trail Advisors, LLC 0.25% of their portfolio NEW YORK, NY 209,628209.6k $6.2m $6.2m 0.25% New
39 Delphi Financial Group, Inc. 2.94% of their portfolio Wilmington, DE 202,385202.4k $6.0m $6.0m 2.94% New
40 Allworth Financial LP 0.06% of their portfolio FOLSOM, CA 197,504197.5k $5.8m $5.8m 0.06% New
41 PINEBRIDGE INVESTMENTS, L.P. 0.06% of their portfolio NEW YORK, NY 190,183190.2k $5.6m $5.6m 0.06% Added +95.7k +95,680
42 PRUDENTIAL PLC 0.07% of their portfolio LONDON, X0 189,770189.8k $5.6m $5.6m 0.07% Added +75.2k +75,190
43 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 178,610178.6k $5.3m $5.3m 0.01% Added +4.8k +4,803
44 Qube Research & Technologies Ltd 0.03% of their portfolio LONDON, X0 160,255160.3k $4.7m $4.7m 0.03% Added +131.0k +130,975
45 Advanced Portfolio Management, LLC 8.42% of their portfolio NEW YORK, NY 150,000150.0k $4.4m $4.4m 8.42% First filing
46 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 137,581137.6k $4.1m $4.1m 0.00% Unchanged
47 LFA - Lugano Financial Advisors SA 2.98% of their portfolio LUGANO, V8 134,717134.7k $4.0m $4.0m 2.98% Reduced -3.1k -3,067
48 LAZARD ASSET MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 129,874129.9k $3.8m $3.8m 0.01% Unchanged
49 Summit Place Financial Advisors, LLC 2.67% of their portfolio SUMMIT, NJ 127,494127.5k $3.8m $3.8m 2.67% Added +9.9k +9,895
50 Twin Tree Management, LP 0.10% of their portfolio DALLAS, TX 124,133124.1k $3.7m $3.7m 0.10% Reduced -52.8k -52,832
51 Perigon Wealth Management, LLC 0.19% of their portfolio SAN FRANCISCO, CA 110,576110.6k $3.3m $3.3m 0.19% Reduced -11.7k -11,655
52 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 109,116109.1k $3.2m $3.2m 0.00% Reduced -2.7k -2,672
53 Jefferies Financial Group Inc. 0.06% of their portfolio NEW YORK, NY 100,000100.0k $2.9m $2.9m 0.06% Added +19.0k +19,000
54 StoneX Group Inc. 0.32% of their portfolio NEW YORK, NY 100,000100.0k $2.9m $2.9m 0.32% New
55 HSBC HOLDINGS PLC 0.00% of their portfolio LONDON, X0 95,00095.0k $2.8m $2.8m 0.00% Unchanged
56 Orion Porfolio Solutions, LLC 0.03% of their portfolio OMAHA, NE 90,43090.4k $2.7m $2.7m 0.03% New
57 Orion Portfolio Solutions, LLC 0.03% of their portfolio Omaha, NE 90,43090.4k $2.7m $2.7m 0.03% Reduced -1.6k -1,604
58 SELDON CAPITAL LP 1.27% of their portfolio SAN FRANCISCO, CA 88,21288.2k $2.6m $2.6m 1.27% Added +34.1k +34,106
59 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 82,84682.8k $2.4m $2.4m 0.00% Added +33.9k +33,933
60 NEUBERGER BERMAN GROUP LLC 0.00% of their portfolio NEW YORK, NY 80,19580.2k $2.4m $2.4m 0.00% Added +39.4k +39,369
61 IPG Investment Advisors LLC 0.52% of their portfolio SAN DIEGO, CA 76,54676.5k $2.3m $2.3m 0.52% New
62 Marex Group Ltd 0.30% of their portfolio London, X0 76,19276.2k $2.2m $2.2m 0.30% Added +51.6k +51,555
63 SCHRODER INVESTMENT MANAGEMENT GROUP 0.00% of their portfolio London, X0 70,00070.0k $2.1m $2.1m 0.00% New
64 EVERGREEN CAPITAL MANAGEMENT LLC 0.08% of their portfolio Bellevue, WA 61,82461.8k $1.8m $1.8m 0.08% Added +18.6k +18,610
65 NOMURA ASSET MANAGEMENT CO LTD 0.01% of their portfolio TOKYO, M0 59,16059.2k $1.7m $1.7m 0.01% Added +12.2k +12,200
66 PEAK6 Investments LLC 0.11% of their portfolio CHICAGO, IL 56,49756.5k $1.7m $1.7m 0.11% Reduced -49.5k -49,503
67 QUATTRO FINANCIAL ADVISORS LLC 0.66% of their portfolio The Woodlands, TX 54,49654.5k $1.6m $1.6m 0.66% Reduced -391 -391
68 Empowered Funds, LLC 0.09% of their portfolio NEWTOWN SQUARE, PA 54,46754.5k $1.6m $1.6m 0.09% New
69 ACIMA PRIVATE WEALTH, LLC 0.75% of their portfolio RICHMOND, VA 51,92951.9k $1.5m $1.5m 0.75% Reduced -13.6k -13,550
70 COLONY GROUP LLC 0.02% of their portfolio Boston, MA 49,18649.2k $1.4m $1.4m 0.02% Reduced -148.1k -148,089
71 AGF MANAGEMENT LTD 0.01% of their portfolio TORONTO, A6 47,38647.4k $1.4m $1.4m 0.01% Reduced -30.3k -30,339
72 PICTON MAHONEY ASSET MANAGEMENT 0.07% of their portfolio Toronto, A6 47,30047.3k $1.4m $1.4m 0.07% Added +19.6k +19,550
73 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0.10% of their portfolio London, X0 45,73345.7k $1.3m $1.3m 0.10% New
74 Banque Cantonale Vaudoise 0.06% of their portfolio LAUSANNE, V8 43,31443.3k $1.3m $1.3m 0.06% Reduced -9.5k -9,527
75 DELTEC ASSET MANAGEMENT LLC 0.31% of their portfolio New York, NY 42,25042.2k $1.2m $1.2m 0.31% New
76 Global Endowment Management, LP 0.13% of their portfolio CHARLOTTE, NC 40,80040.8k $1.2m $1.2m 0.13% Unchanged
77 WORLD EQUITY GROUP, INC. 0.23% of their portfolio SCHAUMBURG, IL 40,31340.3k $1.5m $1.5m 0.23% Added +27.6k +27,558
78 BLUEFIN CAPITAL MANAGEMENT, LLC 0.16% of their portfolio NEW YORK, NY 38,42538.4k $1.1m $1.1m 0.16% New
79 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 35,15135.2k $1.0m $1.0m 0.00% Reduced -14.5k -14,528
80 Desjardins Global Asset Management Inc. 0.13% of their portfolio MONTREAL, A8 35,12735.1k $1.0m $1.0m 0.13% Added +25.7k +25,742
81 New York Life Investment Management LLC 0.01% of their portfolio New York, NY 34,40734.4k $1.0m $1.0m 0.01% Added +1.2k +1,191
82 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.17% of their portfolio ORLANDO, FL 32,87532.9k $1.2m $1.2m 0.17% Reduced -8.6k -8,569
83 ALTFEST L J & CO INC 0.15% of their portfolio NEW YORK, NY 32,01332.0k $944.0k $944.0k 0.15% Reduced -60.8k -60,797
84 Shay Capital LLC 0.37% of their portfolio NEW YORK, NY 30,50030.5k $899.1k $899.1k 0.37% New
85 SkyView Investment Advisors, LLC 0.20% of their portfolio SHREWSBURY, NJ 28,53528.5k $842.0k $842.0k 0.20% Added +4.9k +4,909
86 Endowment Wealth Management, Inc. 0.82% of their portfolio APPLETON, WI 27,96028.0k $818.1k $818.1k 0.82% Reduced -6.4k -6,412
87 Aberdeen Group plc 0.00% of their portfolio EDINBURGH, X0 27,88427.9k $822.0k $822.0k 0.00% Reduced -4.2k -4,173
88 Ninety One UK Ltd 0.00% of their portfolio London, X0 27,71827.7k $817.1k $817.1k 0.00% Reduced -1.8k -1,791
89 OneDigital Investment Advisors LLC 0.02% of their portfolio OVERLAND PARK, KS 26,94826.9k $794.4k $794.4k 0.02% New
90 SG Americas Securities, LLC 0.01% of their portfolio NEW YORK, NY 26,53326.5k $782.0k $782.0k 0.01% Added +20.6k +20,630
91 KB FINANCIAL PARTNERS, LLC 0.23% of their portfolio PRINCETON, NJ 26,42826.4k $779.0k $779.0k 0.23% Added +4.1k +4,060
92 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 26,40026.4k $778.3k $778.3k 0.00% Added +3.2k +3,200
93 Blueprint Investment Partners LLC 0.15% of their portfolio GREENSBORO, NC 21,87621.9k $644.9k $644.9k 0.15% New
94 Zurcher Kantonalbank (Zurich Cantonalbank) 0.00% of their portfolio ZURICH, V8 21,35021.4k $629.6k $629.6k 0.00% Unchanged
95 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 20,79720.8k $613.1k $613.1k 0.00% Added +730 +730
96 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 20,72620.7k $611.0k $611.0k 0.00% Reduced -568 -568
97 Cutler Group LLC / CA 0.09% of their portfolio SAN FRANCISCO, CA 20,20120.2k $595.0k $595.0k 0.09% Added +17.1k +17,076
98 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 18,27218.3k $538.7k $538.7k 0.00% Reduced -2.2k -2,210
99 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 18,13918.1k $534.7k $534.7k 0.00% Added +9.8k +9,817
100 Intercontinental Wealth Advisors, LLC 0.12% of their portfolio SAN ANTONIO, TX 16,29416.3k $480.3k $480.3k 0.12% Reduced -457 -457