Vault-13

DBX ETF TR ASHR

XTRACK HRVST CSI · ETP · CUSIP 233051879

118 institutional holders -1 vs Q4 2023
40,836,03540.8m shares reported held*
$983.5mreported value*
20 new 41 added 33 reduced 21 sold out net bought ≈ $57.8m (+2.4m 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. Holder counts are more reliable. Implied quarter-end price ≈ $24.09. Options: 22 managers hold calls ($388.5m notional), 14 hold puts ($370.4m).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 127Q4 22: 142Q1 23: 148Q2 23: 131Q3 23: 123Q4 23: 119Q1 24: 118118Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022127
Q4 2022142
Q1 2023148
Q2 2023131
Q3 2023123
Q4 2023119
Q1 2024118

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 23Q2 23: 55 bought or addedQ2 23: 93 cut or sold outQ2 23Q3 23: 60 bought or addedQ3 23: 65 cut or sold outQ3 23Q4 23: 53 bought or addedQ4 23: 70 cut or sold outQ4 23Q1 24: 61 bought or addedQ1 24: 54 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20226770
Q1 20237870
Q2 20235593
Q3 20236065
Q4 20235370
Q1 20246154

Calls vs puts

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

CallsPuts
$0$200m$400m$600mQ2 23 calls: $355.8mQ2 23 puts: $20.4mQ2 23P/C 0.06Q3 23 calls: $442.7mQ3 23 puts: $57.4mQ3 23P/C 0.13Q4 23 calls: $210.0mQ4 23 puts: $239.9mQ4 23P/C 1.14Q1 24 calls: $388.5mQ1 24 puts: $370.4mQ1 24P/C 0.95
Numbers
QuarterCallsPutsP/C
Q2 2023$355.8m$20.4m0.06
Q3 2023$442.7m$57.4m0.13
Q4 2023$210.0m$239.9m1.14
Q1 2024$388.5m$370.4m0.95

Biggest buyers

Varma Mutual Pension Insurance Co New +5,269,125+5.3m
MORGAN STANLEY Added +2,312,593+2.3m
JANE STREET GROUP, LLC Added +1,153,435+1.2m
BANK OF AMERICA CORP /DE/ Added +1,107,692+1.1m
BNP PARIBAS FINANCIAL MARKETS Added +763,141+763.1k
NATIONAL BANK OF CANADA /FI/ Added +478,856+478.9k
Walleye Trading LLC Added +392,030+392.0k
Point72 Hong Kong Ltd New +314,600+314.6k
BBR PARTNERS, LLC New +298,795+298.8k
Sollinda Capital Management LLC New +291,093+291.1k

Biggest sellers

Provida Pension Fund Administrator Reduced -6,003,555-6.0m
CITIGROUP INC Reduced -1,362,829-1.4m
TWO SIGMA INVESTMENTS, LP Sold out -900,060-900.1k
MILLENNIUM MANAGEMENT LLC Reduced -732,421-732.4k
Qube Research & Technologies Ltd Reduced -431,085-431.1k
GOLDMAN SACHS GROUP INC Reduced -406,168-406.2k
Driehaus Capital Management LLC Reduced -340,899-340.9k
RENAISSANCE TECHNOLOGIES LLC Sold out -241,600-241.6k
Quantitative Investment Management, LLC Reduced -188,993-189.0k
Harel Insurance Investments & Financial Services Ltd. Reduced -151,001-151.0k

Biggest calls

UBS Group AG New $77.5m3.2m shares
CITADEL ADVISORS LLC Added $69.2m2.9m shares
MILLENNIUM MANAGEMENT LLC Unchanged $48.1m2.0m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $37.0m1.5m shares
BANK OF AMERICA CORP /DE/ Reduced $33.8m1.4m shares
Parallax Volatility Advisers, L.P. Added $21.5m895.3k shares
NOMURA HOLDINGS INC Added $19.6m812.5k shares
Verition Fund Management LLC Added $16.8m700.0k shares
BTG Pactual Global Asset Management Ltd New $16.2m675.0k shares
CITIGROUP INC Reduced $13.3m550.0k shares

Biggest puts

Walleye Trading LLC Added $85.4m3.5m shares
CITADEL ADVISORS LLC Added $74.7m3.1m shares
GOLDMAN SACHS GROUP INC Added $70.5m2.9m shares
BANK OF AMERICA CORP /DE/ Added $45.1m1.9m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $42.9m1.8m shares
MILLENNIUM MANAGEMENT LLC Added $24.1m1.0m shares
NOMURA HOLDINGS INC Added $11.9m493.4k shares
UBS Group AG New $9.6m400.0k shares
WOLVERINE TRADING, LLC New $2.3m94.8k shares
CAPITAL FUND MANAGEMENT S.A. Added $1.8m73.6k 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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Varma Mutual Pension Insurance Co 1.10% of their portfolio Varma, H9 5,269,1255.3m $126.8m $126.8m 1.10% New
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 4,500,2734.5m $108.3m $108.3m 0.00% Added +2.3m +2,312,593
3 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 3,754,5303.8m $90.4m $90.4m 0.00% Reduced -122.5k -122,532
4 JANE STREET GROUP, LLC 0.09% of their portfolio NEW YORK, NY 3,000,5843.0m $72.2m $72.2m 0.09% Added +1.2m +1,153,435
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,686,5371.7m $40.6m $40.6m 0.00% Added +1.1m +1,107,692
6 Provida Pension Fund Administrator 0.98% of their portfolio LAS CONDES, SANTIAGO, F3 1,638,3481.6m $39.4m $39.4m 0.98% Reduced -6.0m -6,003,555
7 ICICI Prudential Asset Management Co Ltd 4.34% of their portfolio MUMBAI, K7 1,596,2101.6m $38.4m $38.4m 4.34% Added +132.9k +132,900
8 Rafferty Asset Management, LLC 0.13% of their portfolio New York, NY 1,421,9311.4m $34.2m $34.2m 0.13% Added +210.0k +210,006
9 CITIGROUP INC 0.03% of their portfolio NEW YORK, NY 1,183,4461.2m $28.6m $28.6m 0.03% Reduced -1.4m -1,362,829
10 Walleye Trading LLC 0.45% of their portfolio NEW YORK, NY 1,152,2601.2m $27.7m $27.7m 0.45% Added +392.0k +392,030
11 GOLDMAN SACHS GROUP INC 0.01% of their portfolio NEW YORK, NY 1,118,2191.1m $26.9m $26.9m 0.01% Reduced -406.2k -406,168
12 CITADEL ADVISORS LLC 0.02% of their portfolio MIAMI, FL 1,068,1631.1m $25.7m $25.7m 0.02% Added +184.7k +184,668
13 Alaska Permanent Fund Corp 0.30% of their portfolio JUNEAU, AK 840,321840.3k $20.2m $20.2m 0.30% Unchanged
14 BNP PARIBAS FINANCIAL MARKETS 0.02% of their portfolio PARIS, I0 820,458820.5k $19.7m $19.7m 0.02% Added +763.1k +763,141
15 CAPITAL FUND MANAGEMENT S.A. 0.23% of their portfolio PARIS, I0 797,915797.9k $19.2m $19.2m 0.23% Reduced -97.0k -96,959
16 UBS Group AG 0.01% of their portfolio ZURICH, V8 753,654753.7k $18.1m $18.1m 0.01% Added +77.2k +77,213
17 STATE OF WISCONSIN INVESTMENT BOARD 0.05% of their portfolio MADISON, WI 725,000725.0k $17.5m $17.5m 0.05% Added +125.0k +125,000
18 MILLENNIUM MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 656,909656.9k $15.8m $15.8m 0.01% Reduced -732.4k -732,421
19 PRUDENTIAL PLC 0.13% of their portfolio LONDON, X0 631,770631.8k $15.2m $15.2m 0.13% Added +204.0k +203,980
20 CI INVESTMENTS INC. 0.06% of their portfolio TORONTO, Z4 602,579602.6k $14.5m $14.5m 0.06% Added +125.0k +125,018
21 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 602,350602.4k $14.5m $14.5m 0.00% Unchanged
22 CAUSEWAY CAPITAL MANAGEMENT LLC 0.32% of their portfolio LOS ANGELES, CA 502,131502.1k $12.1m $12.1m 0.32% Added +78.6k +78,557
23 NATIONAL BANK OF CANADA /FI/ 0.02% of their portfolio MONTREAL, A8 484,755484.8k $12.2m $12.2m 0.02% Added +478.9k +478,856
24 Driehaus Capital Management LLC 0.10% of their portfolio Chicago, IL 413,629413.6k $10.0m $10.0m 0.10% Reduced -340.9k -340,899
25 Analyst IMS Investment Management Services Ltd. 0.39% of their portfolio Tel-aviv, L3 370,500370.5k $8.9m $8.9m 0.39% Unchanged
26 STRS OHIO 0.03% of their portfolio COLUMBUS, OH 320,000320.0k $7.7m $7.7m 0.03% Unchanged
27 Point72 Hong Kong Ltd 0.38% of their portfolio HONG KONG, K3 314,600314.6k $7.6m $7.6m 0.38% New
28 Alberta Investment Management Corp 0.07% of their portfolio EDMONTON, A0 305,700305.7k $7.4m $7.4m 0.07% Unchanged
29 BBR PARTNERS, LLC 0.58% of their portfolio NEW YORK, NY 298,795298.8k $7.2m $7.2m 0.58% New
30 Sollinda Capital Management LLC 2.19% of their portfolio HICKORY, NC 291,093291.1k $7.0m $7.0m 2.19% New
31 ClariVest Asset Management LLC 0.51% of their portfolio SAN DIEGO, CA 203,925203.9k $4.9m $4.9m 0.51% Unchanged
32 CANTOR FITZGERALD INVESTMENT ADVISORS L.P. 0.35% of their portfolio NEW YORK, NY 195,577195.6k $4.7m $4.7m 0.35% Added +1.5k +1,497
33 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 187,914187.9k $4.5m $4.5m 0.01% Added +16.3k +16,319
34 NEUBERGER BERMAN GROUP LLC 0.00% of their portfolio NEW YORK, NY 164,346164.3k $4.0m $4.0m 0.00% Reduced -89.3k -89,320
35 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 155,551155.6k $3.7m $3.7m 0.00% Added +8.0k +7,970
36 Evolution Wealth Advisors, LLC 0.64% of their portfolio AVENTURA, FL 137,950137.9k $3.3m $3.3m 0.64% Reduced -3.5k -3,460
37 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 126,618126.6k $3.0m $3.0m 0.00% Unchanged
38 Capital Investment Advisory Services, LLC 0.32% of their portfolio RALEIGH, NC 124,085124.1k $3.0m $3.0m 0.32% New
39 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 121,336121.3k $2.9m $2.9m 0.00% Reduced -1.0k -1,010
40 Orion Porfolio Solutions, LLC 0.03% of their portfolio OMAHA, NE 105,432105.4k $2.5m $2.5m 0.03% Reduced -5.0k -5,042
41 Orion Portfolio Solutions, LLC 0.03% of their portfolio Omaha, NE 105,432105.4k $2.5m $2.5m 0.03% Reduced -5.0k -5,042
42 GTS SECURITIES LLC 0.07% of their portfolio NEW YORK, NY 101,990102.0k $2.5m $2.5m 0.07% Added +77.6k +77,578
43 Vontobel Holding Ltd. 0.02% of their portfolio ZURICH, V8 100,776100.8k $2.4m $2.4m 0.02% Reduced -25.7k -25,713
44 NOMURA ASSET MANAGEMENT CO LTD 0.01% of their portfolio TOKYO, M0 90,40090.4k $2.2m $2.2m 0.01% Added +23.5k +23,490
45 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 86,10086.1k $2.1m $2.1m 0.01% Reduced -123 -123
46 PICTON MAHONEY ASSET MANAGEMENT 0.08% of their portfolio Toronto, A6 82,22582.2k $2.0m $2.0m 0.08% Added +610 +610
47 Quantitative Investment Management, LLC 0.10% of their portfolio CHARLOTTESVILLE, VA 70,24270.2k $1.7m $1.7m 0.10% Reduced -189.0k -188,993
48 Federation des caisses Desjardins du Quebec 0.01% of their portfolio LEVIS, A8 66,17366.2k $1.6m $1.6m 0.01% New
49 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 64,28164.3k $1.5m $1.5m 0.00% Reduced -431.1k -431,085
50 Quadrature Capital Ltd 0.03% of their portfolio LONDON, X0 63,47563.5k $1.5m $1.5m 0.03% Added +51.5k +51,454
51 Summit Place Financial Advisors, LLC 0.88% of their portfolio SUMMIT, NJ 62,32162.3k $1.5m $1.5m 0.88% Added +17.6k +17,560
52 FIL Ltd 0.00% of their portfolio HAMILTON, D0 58,91158.9k $1.4m $1.4m 0.00% Added +13.9k +13,855
53 EVERGREEN CAPITAL MANAGEMENT LLC 0.05% of their portfolio Bellevue, WA 57,76257.8k $1.4m $1.4m 0.05% Reduced -973 -973
54 ACIMA PRIVATE WEALTH, LLC 0.51% of their portfolio RICHMOND, VA 57,23257.2k $1.4m $1.4m 0.51% Added +6.2k +6,174
55 Global Endowment Management, LP 0.14% of their portfolio CHARLOTTE, NC 57,00057.0k $1.4m $1.4m 0.14% Added +18.0k +18,000
56 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 54,96755.0k $1.3m $1.3m 0.00% Added +8.3k +8,316
57 BANK OF NOVA SCOTIA 0.00% of their portfolio TORONTO, A6 54,25054.2k $1.3m $1.3m 0.00% Added +580 +580
58 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 54,03554.0k $1.3m $1.3m 0.00% Reduced -1.9k -1,937
59 IPG Investment Advisors LLC 0.25% of their portfolio SAN DIEGO, CA 47,00047.0k $1.1m $1.1m 0.25% Reduced -76.5k -76,546
60 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 46,56446.6k $1.1m $1.1m 0.00% Added +277 +277
61 DELTEC ASSET MANAGEMENT LLC 0.22% of their portfolio New York, NY 46,50046.5k $1.1m $1.1m 0.22% Unchanged
62 SELDON CAPITAL LP 0.64% of their portfolio SAN FRANCISCO, CA 44,10644.1k $1.1m $1.1m 0.64% Reduced -10.0k -10,000
63 BOOTHBAY FUND MANAGEMENT, LLC 0.03% of their portfolio NEW YORK, NY 41,40041.4k $996.5k $996.5k 0.03% New
64 Banque Cantonale Vaudoise 0.04% of their portfolio LAUSANNE, V8 41,30141.3k $994.0k $994.0k 0.04% Reduced -791 -791
65 Polunin Capital Partners Ltd 0.15% of their portfolio LONDON, X0 40,84540.8k $983.0k $983.0k 0.15% Reduced -9.6k -9,600
66 New York Life Investment Management LLC 0.01% of their portfolio New York, NY 37,96538.0k $913.8k $913.8k 0.01% Added +418 +418
67 Endowment Wealth Management, Inc. 0.65% of their portfolio APPLETON, WI 36,28136.3k $873.3k $873.3k 0.65% Added +6.9k +6,875
68 STABLEFORD CAPITAL II LLC 0.31% of their portfolio SCOTTSDALE, AZ 31,76231.8k $764.5k $764.5k 0.31% Reduced -143 -143
69 Diversify Advisory Services, LLC 0.04% of their portfolio SANDY, UT 30,93830.9k $758.9k $758.9k 0.04% First filing
70 MARSHALL WACE, LLP 0.00% of their portfolio LONDON, X0 29,07229.1k $699.8k $699.8k 0.00% New
71 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 25,00025.0k $601.8k $601.8k 0.00% Added +9.0k +9,000
72 Corecam Pte. Ltd. 0.53% of their portfolio SINGAPORE, U0 24,00024.0k $577.7k $577.7k 0.53% Unchanged
73 Zurcher Kantonalbank (Zurich Cantonalbank) 0.00% of their portfolio ZURICH, V8 19,07219.1k $456.2k $456.2k 0.00% Reduced -459 -459
74 HAP Trading, LLC 0.14% of their portfolio NEW YORK, NY 19,06019.1k $458.8k $458.8k 0.14% New
75 Banco Santander, S.A. 0.01% of their portfolio Madrid, U3 17,91917.9k $431.3k $431.3k 0.01% New
76 SIMPLEX TRADING, LLC 0.01% of their portfolio CHICAGO, IL 17,39417.4k $418.0k $418.0k 0.01% Added +6.8k +6,806
77 PINEBRIDGE INVESTMENTS, L.P. 0.00% of their portfolio NEW YORK, NY 16,48516.5k $396.8k $396.8k 0.00% Reduced -9.2k -9,166
78 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 16,30816.3k $392.5k $392.5k 0.00% Added +7.3k +7,306
79 Mirae Asset Global Investments Co., Ltd. 0.00% of their portfolio SEOUL, M5 16,20016.2k $389.9k $389.9k 0.00% Unchanged
80 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 15,97216.0k $384.5k $384.5k 0.00% Added +2.4k +2,441
81 IMC-Chicago, LLC 0.01% of their portfolio CHICAGO, IL 15,56115.6k $374.6k $374.6k 0.01% New
82 Betterment LLC 0.00% of their portfolio NEW YORK, NY 15,36915.4k $370.0k $370.0k 0.00% Added +5.1k +5,114
83 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 15,24415.2k $366.9k $366.9k 0.00% Unchanged
84 Focus Partners Wealth 0.00% of their portfolio ST LOUIS, MO 15,00015.0k $361.0k $361.0k 0.00% Unchanged
85 Provenance Wealth Advisors, LLC 0.05% of their portfolio FORT LAUDERDALE, FL 13,33513.3k $321.0k $321.0k 0.05% New
86 CANTOR FITZGERALD, L. P. 0.08% of their portfolio NEW YORK, NY 13,14413.1k $316.4k $316.4k 0.08% Unchanged
87 Summit Trail Advisors, LLC 0.01% of their portfolio NEW YORK, NY 12,87412.9k $309.9k $309.9k 0.01% Reduced -22.8k -22,822
88 Cutler Group LLC / CA 0.16% of their portfolio SAN FRANCISCO, CA 12,82412.8k $308.0k $308.0k 0.16% Added +11.2k +11,235
89 Phraction Management LLC 0.11% of their portfolio COLCHESTER, CT 12,11012.1k $291.5k $291.5k 0.11% Unchanged
90 Cresset Asset Management, LLC 0.00% of their portfolio Chicago, IL 10,36810.4k $249.6k $249.6k 0.00% Unchanged
91 WOLVERINE TRADING, LLC 0.00% of their portfolio CHICAGO, IL 10,32810.3k $248.6k $248.6k 0.00% New
92 PFG Advisors 0.02% of their portfolio Phoenix, AZ 10,31010.3k $248.2k $248.2k 0.02% Added +246 +246
93 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 9,8009.8k $235.9k $235.9k 0.00% Added +8.6k +8,600
94 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 9,1919.2k $221.2k $221.2k 0.00% Reduced -3.3k -3,262
95 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 9,1359.1k $219.9k $219.9k 0.00% Unchanged
96 TWO SIGMA SECURITIES, LLC 0.01% of their portfolio NEW YORK, NY 8,6348.6k $207.8k $207.8k 0.01% New
97 Headlands Technologies LLC 0.04% of their portfolio CHICAGO, IL 7,0167.0k $168.9k $168.9k 0.04% Added +5.7k +5,710
98 Mondrian Investment Partners LTD 0.00% of their portfolio LONDON, X0 6,8026.8k $163.7k $163.7k 0.00% Reduced -8.8k -8,781
99 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.01% of their portfolio BIRMINGHAM, AL 5,1425.1k $123.8k $123.8k 0.01% Reduced -604 -604
100 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 3,4143.4k $82.2k $82.2k 0.00% Reduced -3.6k -3,621