Vault-13

RIO TINTO PLC RIO

SPONSORED ADR · ADR · CUSIP 767204100 · ISIN US7672041008

725 institutional holders +42 vs Q4 2022
133,908,777133.9m shares reported held*
$9.1bnreported value*
98 new 281 added 197 reduced 51 sold out net sold ≈ $317.3m (-3.3m 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 ($29.4m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $67.91. Options: 27 managers hold calls ($609.7m notional), 26 hold puts ($497.0m).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0250500750Q3 22: 635Q4 22: 683Q1 23: 725725Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022635
Q4 2022683
Q1 2023725

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 334 bought or addedQ4 22: 263 cut or sold outQ4 22Q1 23: 379 bought or addedQ1 23: 248 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022334263
Q1 2023379248

Calls vs puts

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

CallsPuts
$0$200m$400m$600m$800mQ3 22 calls: $436.2mQ3 22 puts: $364.4mQ3 22P/C 0.84Q4 22 calls: $768.8mQ4 22 puts: $678.7mQ4 22P/C 0.88Q1 23 calls: $609.7mQ1 23 puts: $497.0mQ1 23P/C 0.82
Numbers
QuarterCallsPutsP/C
Q3 2022$436.2m$364.4m0.84
Q4 2022$768.8m$678.7m0.88
Q1 2023$609.7m$497.0m0.82

Biggest buyers

FMR LLC Added +2,718,239+2.7m
ACADIAN ASSET MANAGEMENT LLC Added +2,120,343+2.1m
NEUBERGER BERMAN GROUP LLC Added +1,404,275+1.4m
ENVESTNET ASSET MANAGEMENT INC Added +1,347,060+1.3m
ExodusPoint Capital Management, LP Added +727,556+727.6k
MORGAN STANLEY Added +611,538+611.5k
Encompass Capital Advisors LLC Added +607,463+607.5k
BANK OF AMERICA CORP /DE/ Added +461,079+461.1k
MILLENNIUM MANAGEMENT LLC Added +389,901+389.9k
JANE STREET GROUP, LLC Added +352,504+352.5k

Biggest sellers

GQG Partners LLC Reduced -8,345,969-8.3m
WELLINGTON MANAGEMENT GROUP LLP Reduced -2,957,383-3.0m
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP Reduced -1,977,314-2.0m
MARSHALL WACE, LLP Sold out -1,003,409-1.0m
UBS Group AG Reduced -924,220-924.2k
MACQUARIE GROUP LTD Reduced -671,022-671.0k
GOLDMAN SACHS GROUP INC Reduced -512,547-512.5k
Balyasny Asset Management L.P. Reduced -263,623-263.6k
CITADEL ADVISORS LLC Reduced -209,081-209.1k
Holocene Advisors, LP Reduced -196,597-196.6k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $150.9m2.2m shares
BARCLAYS PLC New $146.4m2.1m shares
CITADEL ADVISORS LLC Added $81.7m1.2m shares
Optiver Holding B.V. Reduced $48.6m719.5k shares
JANE STREET GROUP, LLC Added $31.4m457.1k shares
Twin Tree Management, LP Reduced $30.5m444.0k shares
SIMPLEX TRADING, LLC Reduced $26.2m382.4k shares
GROUP ONE TRADING LLC Reduced $16.3m237.1k shares
NOMURA HOLDINGS INC New $16.0m232.9k shares
UBS Group AG Reduced $11.7m170.4k shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $111.8m1.6m shares
Optiver Holding B.V. Reduced $110.9m1.6m shares
CITADEL ADVISORS LLC Reduced $62.4m910.2k shares
SIMPLEX TRADING, LLC Added $47.0m685.8k shares
Twin Tree Management, LP Reduced $35.2m513.5k shares
GROUP ONE TRADING LLC Reduced $25.2m367.0k shares
JANE STREET GROUP, LLC New $17.4m253.8k shares
UBS Group AG Reduced $12.4m180.8k shares
ROYAL BANK OF CANADA New $10.3m150.0k shares
Point72 Asset Management, L.P. Added $10.3m150.0k 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 Fisher Asset Management, LLC 0.61% of their portfolio PLANO, TX 14,572,43014.6m $1.0bn $1.0bn 0.61% Added +147.9k +147,949
2 WELLINGTON MANAGEMENT GROUP LLP 0.19% of their portfolio Boston, MA 13,894,27813.9m $953.1m $953.1m 0.19% Reduced -3.0m -2,957,383
3 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 0.78% of their portfolio BLOOMINGTON, IL 10,931,82010.9m $749.9m $749.9m 0.78% Unchanged
4 Capital World Investors 0.12% of their portfolio LOS ANGELES, CA 8,524,4028.5m $584.8m $584.8m 0.12% Added +2.6k +2,625
5 NEUBERGER BERMAN GROUP LLC 0.49% of their portfolio NEW YORK, NY 7,652,2287.7m $524.9m $524.9m 0.49% Added +1.4m +1,404,275
6 FRANKLIN RESOURCES INC 0.22% of their portfolio San Mateo, CA 6,356,5896.4m $436.1m $436.1m 0.22% Reduced -19.8k -19,846
7 FMR LLC 0.02% of their portfolio BOSTON, MA 5,756,9465.8m $394.9m $394.9m 0.02% Added +2.7m +2,718,239
8 ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 0.48% of their portfolio BOSTON, MA 5,377,2185.4m $368.9m $368.9m 0.48% Reduced -2.0m -1,977,314
9 MORGAN STANLEY 0.03% of their portfolio NEW YORK, NY 3,863,7643.9m $265.1m $265.1m 0.03% Added +611.5k +611,538
10 GOLDMAN SACHS GROUP INC 0.07% of their portfolio NEW YORK, NY 3,638,3003.6m $249.6m $249.6m 0.07% Reduced -512.5k -512,547
11 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 2,609,3122.6m $179.0m $179.0m 0.02% Added +461.1k +461,079
12 ACADIAN ASSET MANAGEMENT LLC 0.76% of their portfolio Boston, MA 2,514,5322.5m $172.5m $172.5m 0.76% Added +2.1m +2,120,343
13 Harding Loevner LP 0.97% of their portfolio Bridgewater, NJ 2,477,8422.5m $169.9m $169.9m 0.97% Reduced -8.0k -8,026
14 DIMENSIONAL FUND ADVISORS LP 0.05% of their portfolio AUSTIN, TX 2,296,5482.3m $157.5m $157.5m 0.05% Reduced -12.6k -12,592
15 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 2,112,0312.1m $48.1m $48.1m 0.02% Added +1.3m +1,347,060
16 Encompass Capital Advisors LLC 8.06% of their portfolio New York, NY 1,936,4841.9m $132.8m $132.8m 8.06% Added +607.5k +607,463
17 NORTHERN TRUST CORP 0.02% of their portfolio CHICAGO, IL 1,775,7611.8m $121.8m $121.8m 0.02% Reduced -18.6k -18,610
18 CITADEL ADVISORS LLC 0.11% of their portfolio MIAMI, FL 1,476,2451.5m $101.3m $101.3m 0.11% Reduced -209.1k -209,081
19 EARNEST PARTNERS LLC 0.57% of their portfolio ATLANTA, GA 1,431,7631.4m $98.2m $98.2m 0.57% Reduced -7.9k -7,875
20 BlackRock Inc. 0.00% of their portfolio New York, NY 1,297,5641.3m $89.0m $89.0m 0.00% Added +55.9k +55,877
21 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 1,121,5561.1m $76.9m $76.9m 0.02% Reduced -2.1k -2,084
22 Cullen Capital Management, LLC 0.65% of their portfolio New York, NY 1,043,1371.0m $71.6m $71.6m 0.65% Reduced -15.8k -15,797
23 TODD ASSET MANAGEMENT LLC 1.65% of their portfolio Louisville, KY 994,130994.1k $68.2m $68.2m 1.65% Added +3.9k +3,931
24 UBS Group AG 0.03% of their portfolio ZURICH, V8 832,502832.5k $57.1m $57.1m 0.03% Reduced -924.2k -924,220
25 TD Asset Management Inc 0.06% of their portfolio Toronto, A6 759,885759.9k $52.1m $52.1m 0.06% Reduced -64.9k -64,927
26 ExodusPoint Capital Management, LP 0.58% of their portfolio NEW YORK, NY 736,052736.1k $50.5m $50.5m 0.58% Added +727.6k +727,556
27 MILLENNIUM MANAGEMENT LLC 0.06% of their portfolio NEW YORK, NY 729,002729.0k $50.0m $50.0m 0.06% Added +389.9k +389,901
28 BANK OF MONTREAL /CAN/ 0.02% of their portfolio TORONTO, A6 720,434720.4k $49.4m $49.4m 0.02% Added +161.7k +161,721
29 VOLORIDGE INVESTMENT MANAGEMENT, LLC 0.23% of their portfolio JUPITER, FL 678,095678.1k $46.5m $46.5m 0.23% Added +136.8k +136,848
30 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 640,998641.0k $44.0m $44.0m 0.01% Reduced -14.1k -14,134
31 Holocene Advisors, LP 0.21% of their portfolio New York, NY 604,701604.7k $41.5m $41.5m 0.21% Reduced -196.6k -196,597
32 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 0.40% of their portfolio FRANKFORT, KY 586,980587.0k $40.3m $40.3m 0.40% Unchanged
33 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 575,620575.6k $39.5m $39.5m 0.01% Added +29.4k +29,419
34 SEI INVESTMENTS CO 0.07% of their portfolio OAKS, PA 569,499569.5k $39.1m $39.1m 0.07% Added +98.1k +98,090
35 Pacer Advisors, Inc. 0.16% of their portfolio Malvern, PA 541,216541.2k $37.1m $37.1m 0.16% Added +187.2k +187,161
36 NATIXIS ADVISORS, LLC 0.13% of their portfolio Boston, MA 530,564530.6k $36.4m $36.4m 0.13% Reduced -114.4k -114,367
37 RAYMOND JAMES & ASSOCIATES 0.03% of their portfolio ST PETERSBURG, FL 506,401506.4k $34.7m $34.7m 0.03% Added +79.3k +79,286
38 FIRST TRUST ADVISORS LP 0.04% of their portfolio Wheaton, IL 480,972481.0k $33.0m $33.0m 0.04% Reduced -61.4k -61,362
39 Russell Investments Group, Ltd. 0.06% of their portfolio Seattle, WA 420,422420.4k $28.8m $28.8m 0.06% Added +33.0k +32,954
40 BARCLAYS PLC 0.03% of their portfolio LONDON, X0 402,455402.5k $27.6m $27.6m 0.03% Added +155.8k +155,849
41 Epoch Investment Partners, Inc. 0.16% of their portfolio New York, NY 400,684400.7k $27.5m $27.5m 0.16% Reduced -80.6k -80,568
42 JANE STREET GROUP, LLC 0.04% of their portfolio NEW YORK, NY 375,847375.8k $25.8m $25.8m 0.04% Added +352.5k +352,504
43 GABELLI FUNDS LLC 0.18% of their portfolio Rye, NY 349,000349.0k $23.9m $23.9m 0.18% Added +5.0k +5,000
44 CAPITAL ADVISORS INC/OK 0.62% of their portfolio TULSA, OK 337,285337.3k $23.1m $23.1m 0.62% Added +40.6k +40,649
45 Tidal Investments LLC 0.39% of their portfolio Milwaukee, WI 335,098335.1k $23.0m $23.0m 0.39% Added +175.8k +175,842
46 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 333,957334.0k $22.9m $22.9m 0.02% Added +40.6k +40,579
47 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 323,204323.2k $22.2m $22.2m 0.03% Added +53.3k +53,333
48 Capital Investment Advisors, LLC 0.64% of their portfolio ATLANTA, GA 315,324315.3k $21.6m $21.6m 0.64% Added +229.8k +229,832
49 Point72 Asset Management, L.P. 0.07% of their portfolio STAMFORD, CT 302,700302.7k $20.8m $20.8m 0.07% Added +56.0k +55,988
50 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 300,899300.9k $20.6m $20.6m 0.00% Added +13.2k +13,169
51 RENAISSANCE TECHNOLOGIES LLC 0.03% of their portfolio NEW YORK, NY 296,800296.8k $20.4m $20.4m 0.03% Added +253.0k +253,000
52 CAMBRIDGE TRUST CO 0.94% of their portfolio BOSTON, MA 287,839287.8k $19.7m $19.7m 0.94% Added +10.7k +10,667
53 Itau Unibanco Holding S.A. 0.99% of their portfolio SAO PAULO, D5 286,765286.8k $19.7m $19.7m 0.99% Added +257.3k +257,256
54 KORNITZER CAPITAL MANAGEMENT INC /KS 0.38% of their portfolio SHAWNEE MISSION, KS 276,352276.4k $19.0m $19.0m 0.38% Reduced -568 -568
55 Twin Tree Management, LP 0.52% of their portfolio DALLAS, TX 266,591266.6k $18.3m $18.3m 0.52% New
56 Cubist Systematic Strategies, LLC 0.17% of their portfolio STAMFORD, CT 258,819258.8k $17.8m $17.8m 0.17% Added +152.8k +152,787
57 MACQUARIE GROUP LTD 0.02% of their portfolio Sydney, NSW 2000, C3 231,702231.7k $15.9m $15.9m 0.02% Reduced -671.0k -671,022
58 Qube Research & Technologies Ltd 0.09% of their portfolio LONDON, X0 221,582221.6k $15.2m $15.2m 0.09% New
59 AMERICAN CENTURY COMPANIES INC 0.01% of their portfolio KANSAS CITY, MO 213,832213.8k $14.7m $14.7m 0.01% Added +3.4k +3,385
60 VAN ECK ASSOCIATES CORP 0.03% of their portfolio NEW YORK, NY 212,343212.3k $14.6m $14.6m 0.03% Added +49.3k +49,251
61 NATIONAL BANK OF CANADA /FI/ 0.04% of their portfolio MONTREAL, A8 207,151207.2k $14.2m $14.2m 0.04% Reduced -150.3k -150,333
62 Grassi Investment Management 1.73% of their portfolio SANTA CLARA, CA 202,737202.7k $13.9m $13.9m 1.73% Reduced -2.3k -2,290
63 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 192,629192.6k $13.2m $13.2m 0.02% Added +13.0k +12,952
64 MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.01% of their portfolio Toronto, A6 185,267185.3k $12.7m $12.7m 0.01% Reduced -1.8k -1,835
65 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 184,726184.7k $12.7m $12.7m 0.02% Reduced -125 -125
66 SKBA CAPITAL MANAGEMENT LLC 2.27% of their portfolio San Francisco, CA 177,650177.7k $12.2m $12.2m 2.27% Reduced -18.8k -18,800
67 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 174,372174.4k $12.0m $12.0m 0.03% Reduced -4.5k -4,474
68 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 171,103171.1k $11.8m $11.8m 0.00% Reduced -125.9k -125,894
69 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.18% of their portfolio Stamford, CT 166,163166.2k $11.4m $11.4m 0.18% Reduced -4.7k -4,682
70 Pacific Heights Asset Management LLC 1.03% of their portfolio San Francisco, CA 160,000160.0k $11.0m $11.0m 1.03% Added +10.0k +10,000
71 OPPENHEIMER ASSET MANAGEMENT INC. 0.17% of their portfolio NEW YORK, NY 158,078158.1k $10.8m $10.8m 0.17% Reduced -9.2k -9,216
72 CAUSEWAY CAPITAL MANAGEMENT LLC 0.26% of their portfolio LOS ANGELES, CA 155,414155.4k $10.7m $10.7m 0.26% Added +2.3k +2,340
73 NEW YORK STATE COMMON RETIREMENT FUND 0.01% of their portfolio ALBANY, NY 154,513154.5k $10.6m $10.6m 0.01% Reduced -31.0k -30,995
74 Palliser Capital (UK) Ltd 11.47% of their portfolio LONDON, X0 147,689147.7k $10.1m $10.1m 11.47% New
75 Moran Wealth Management, LLC 0.37% of their portfolio NAPLES, FL 143,465143.5k $9.8m $9.8m 0.37% Added +14.5k +14,473
76 Bell Bank 1.04% of their portfolio FARGO, ND 143,026143.0k $9.8m $9.8m 1.04% Reduced -7.3k -7,297
77 FARALLON CAPITAL MANAGEMENT, L.L.C. 0.06% of their portfolio SAN FRANCISCO, CA 137,500137.5k $9.4m $9.4m 0.06% Not comparable
78 FORBES J M & CO LLP 1.28% of their portfolio Boston, MA 135,938135.9k $9.3m $9.3m 1.28% Added +68.4k +68,382
79 MORGAN DEMPSEY CAPITAL MANAGEMENT LLC 2.41% of their portfolio MILWAUKEE, WI 130,039130.0k $8.9m $8.9m 2.41% Added +6.3k +6,339
80 Connor, Clark & Lunn Investment Management Ltd. 0.05% of their portfolio VANCOUVER, A1 124,571124.6k $8.5m $8.5m 0.05% Reduced -65.2k -65,194
81 US BANCORP \DE\ 0.01% of their portfolio MINNEAPOLIS, MN 123,801123.8k $8.5m $8.5m 0.01% Added +1.0k +1,035
82 ALERUS FINANCIAL NA 0.75% of their portfolio GRAND FORKS, ND 122,770122.8k $8.4m $8.4m 0.75% Added +234 +234
83 BNP PARIBAS FINANCIAL MARKETS 0.02% of their portfolio PARIS, I0 121,401121.4k $8.3m $8.3m 0.02% Added +50.2k +50,174
84 CIBC WORLD MARKET INC. 0.03% of their portfolio TORONTO, A6 118,974119.0k $8.2m $8.2m 0.03% Added +913 +913
85 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.04% of their portfolio IRVING, TX 114,611114.6k $7.9m $7.9m 0.04% Added +2.0k +1,971
86 SALEM INVESTMENT COUNSELORS INC 0.31% of their portfolio WINSTON-SALEM, NC 110,561110.6k $7.9m $7.9m 0.31% Reduced -1.0k -1,025
87 Mirae Asset Global Investments Co., Ltd. 0.02% of their portfolio SEOUL, M5 109,008109.0k $7.5m $7.5m 0.02% Added +39.5k +39,489
88 Amundi 0.00% of their portfolio Paris, I0 107,926107.9k $7.2m $7.2m 0.00% Added +24.0k +23,978
89 Squarepoint Ops LLC 0.05% of their portfolio NEW YORK, NY 107,712107.7k $7.4m $7.4m 0.05% New
90 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 0.00% of their portfolio Boston, MA 106,018106.0k $7.3m $7.3m 0.00% Added +1.9k +1,853
91 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 104,744104.7k $7.2m $7.2m 0.01% Added +9.0k +8,983
92 Advisors Asset Management, Inc. 0.15% of their portfolio Monument, CO 104,028104.0k $7.1m $7.1m 0.15% Reduced -2.1k -2,085
93 Greenline Partners, LLC 1.31% of their portfolio NEW YORK, NY 99,90399.9k $6.9m $6.9m 1.31% Added +4.5k +4,489
94 Mariner, LLC 0.02% of their portfolio Overland Park, KS 96,29696.3k $6.6m $6.6m 0.02% Added +7.0k +6,964
95 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 95,42495.4k $6.5m $6.5m 0.03% Added +1.8k +1,794
96 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 93,43793.4k $6.4m $6.4m 0.01% Added +31.3k +31,312
97 LMCG INVESTMENTS, LLC 0.42% of their portfolio BOSTON, MA 91,04691.0k $6.2m $6.2m 0.42% Added +37.6k +37,578
98 Parsec Financial Management, Inc. 0.26% of their portfolio ASHEVILLE, NC 90,77290.8k $6.2m $6.2m 0.26% Reduced -10.8k -10,760
99 Goelzer Investment Management, Inc. 0.53% of their portfolio CARMEL, IN 88,77088.8k $6.1m $6.1m 0.53% Added +9.1k +9,126
100 Soltis Investment Advisors LLC 0.76% of their portfolio ST. GEORGE, UT 87,50187.5k $6.0m $6.0m 0.76% Added +9.6k +9,603