Vault-13

RIO TINTO PLC RIO

SPONSORED ADR · ADR · CUSIP 767204100 · ISIN US7672041008

773 institutional holders +55 vs Q3 2023
135,982,363136.0m shares reported held*
$10.1bnreported value*
83 new 240 added 271 reduced 51 sold out net bought ≈ $410.4m (+5.5m 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 ($13.3m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $74.40. Options: 33 managers hold calls ($683.0m notional), 28 hold puts ($638.3m).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

05001kQ3 22: 635Q4 22: 683Q1 23: 725Q2 23: 713Q3 23: 718Q4 23: 773773Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022635
Q4 2022683
Q1 2023725
Q2 2023713
Q3 2023718
Q4 2023773

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 23Q2 23: 367 bought or addedQ2 23: 286 cut or sold outQ2 23Q3 23: 357 bought or addedQ3 23: 275 cut or sold outQ3 23Q4 23: 323 bought or addedQ4 23: 322 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022334263
Q1 2023379248
Q2 2023367286
Q3 2023357275
Q4 2023323322

Calls vs puts

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

CallsPuts
$0$200m$400m$600m$800mQ1 23 calls: $609.7mQ1 23 puts: $497.0mQ1 23P/C 0.82Q2 23 calls: $535.4mQ2 23 puts: $366.5mQ2 23P/C 0.68Q3 23 calls: $460.0mQ3 23 puts: $377.9mQ3 23P/C 0.82Q4 23 calls: $683.0mQ4 23 puts: $638.3mQ4 23P/C 0.93
Numbers
QuarterCallsPutsP/C
Q1 2023$609.7m$497.0m0.82
Q2 2023$535.4m$366.5m0.68
Q3 2023$460.0m$377.9m0.82
Q4 2023$683.0m$638.3m0.93

Biggest buyers

MORGAN STANLEY Added +3,942,918+3.9m
GOLDMAN SACHS GROUP INC Added +1,953,147+2.0m
NEUBERGER BERMAN GROUP LLC Added +1,711,553+1.7m
WELLINGTON MANAGEMENT GROUP LLP Added +1,644,751+1.6m
JPMORGAN CHASE & CO Added +683,503+683.5k
SPX Gestao de Recursos Ltda Added +672,095+672.1k
ACADIAN ASSET MANAGEMENT LLC Added +661,618+661.6k
Qube Research & Technologies Ltd Added +634,135+634.1k
VAN ECK ASSOCIATES CORP Added +470,073+470.1k
Fisher Asset Management, LLC Added +449,536+449.5k

Biggest sellers

Capital World Investors Reduced -3,531,000-3.5m
FRANKLIN RESOURCES INC Reduced -1,526,147-1.5m
Holocene Advisors, LP Sold out -1,280,657-1.3m
DIMENSIONAL FUND ADVISORS LP Reduced -1,117,245-1.1m
TWO SIGMA INVESTMENTS, LP Reduced -550,585-550.6k
NORTHERN TRUST CORP Reduced -454,630-454.6k
VOLORIDGE INVESTMENT MANAGEMENT, LLC Sold out -420,347-420.3k
Cullen Capital Management, LLC Reduced -326,887-326.9k
RENAISSANCE TECHNOLOGIES LLC Sold out -282,500-282.5k
MARSHALL WACE, LLP Reduced -234,578-234.6k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $141.9m1.9m shares
Optiver Holding B.V. Added $97.7m1.3m shares
Twin Tree Management, LP Added $86.0m1.2m shares
CITADEL ADVISORS LLC Added $78.1m1.0m shares
JANE STREET GROUP, LLC Added $58.0m778.7k shares
Squarepoint Ops LLC Added $37.1m498.9k shares
SIMPLEX TRADING, LLC Added $32.2m433.1k shares
GROUP ONE TRADING LLC Added $27.4m368.4k shares
NOMURA HOLDINGS INC New $20.8m279.1k shares
UBS Group AG Added $20.1m269.4k shares

Biggest puts

Optiver Holding B.V. Added $153.3m2.1m shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $117.6m1.6m shares
DYNAMO INTERNACIONAL GESTAO DE RECURSOS LTDA. Unchanged $80.4m1.1m shares
JANE STREET GROUP, LLC Added $39.4m529.7k shares
CITADEL ADVISORS LLC Added $38.9m522.5k shares
Twin Tree Management, LP Added $33.8m453.9k shares
Squarepoint Ops LLC Reduced $27.8m372.9k shares
SIMPLEX TRADING, LLC Added $27.6m370.0k shares
MILLENNIUM MANAGEMENT LLC Added $24.9m334.3k shares
UBS Group AG Added $20.8m279.6k 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.

Insider purchases and sales in Q4 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 Q4 2023.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 WELLINGTON MANAGEMENT GROUP LLP 0.34% of their portfolio Boston, MA 24,838,52424.8m $1.8bn $1.8bn 0.34% Added +1.6m +1,644,751
2 Fisher Asset Management, LLC 0.63% of their portfolio PLANO, TX 16,019,74816.0m $1.2bn $1.2bn 0.63% Added +449.5k +449,536
3 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 0.78% of their portfolio BLOOMINGTON, IL 10,931,82010.9m $814.0m $814.0m 0.78% Unchanged
4 MORGAN STANLEY 0.03% of their portfolio NEW YORK, NY 8,407,2628.4m $626.0m $626.0m 0.03% Added +3.9m +3,942,918
5 NEUBERGER BERMAN GROUP LLC 0.42% of their portfolio NEW YORK, NY 6,473,9296.5m $482.1m $482.1m 0.42% Added +1.7m +1,711,553
6 GOLDMAN SACHS GROUP INC 0.09% of their portfolio NEW YORK, NY 5,707,7175.7m $425.0m $425.0m 0.09% Added +2.0m +1,953,147
7 FRANKLIN RESOURCES INC 0.17% of their portfolio San Mateo, CA 4,863,4944.9m $362.1m $362.1m 0.17% Reduced -1.5m -1,526,147
8 Capital World Investors 0.06% of their portfolio LOS ANGELES, CA 4,786,9264.8m $356.4m $356.4m 0.06% Reduced -3.5m -3,531,000
9 ACADIAN ASSET MANAGEMENT LLC 1.03% of their portfolio Boston, MA 3,564,7113.6m $265.4m $265.4m 1.03% Added +661.6k +661,618
10 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 2,702,6662.7m $201.2m $201.2m 0.02% Added +374.0k +374,018
11 Harding Loevner LP 0.95% of their portfolio Bridgewater, NJ 2,345,9252.3m $168.7m $168.7m 0.95% Reduced -37.1k -37,074
12 CITADEL ADVISORS LLC 0.16% of their portfolio MIAMI, FL 2,104,1892.1m $156.7m $156.7m 0.16% Added +350.6k +350,618
13 NORTHERN TRUST CORP 0.02% of their portfolio CHICAGO, IL 1,438,5921.4m $107.1m $107.1m 0.02% Reduced -454.6k -454,630
14 EARNEST PARTNERS LLC 0.51% of their portfolio ATLANTA, GA 1,376,6271.4m $102.5m $102.5m 0.51% Reduced -2.3k -2,269
15 BlackRock Inc. 0.00% of their portfolio New York, NY 1,328,7161.3m $98.9m $98.9m 0.00% Added +18.6k +18,566
16 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,220,1561.2m $90.9m $90.9m 0.00% Added +683.5k +683,503
17 Qube Research & Technologies Ltd 0.20% of their portfolio LONDON, X0 1,215,8491.2m $90.5m $90.5m 0.20% Added +634.1k +634,135
18 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 1,057,7381.1m $78.8m $78.8m 0.02% Reduced -140.3k -140,277
19 TODD ASSET MANAGEMENT LLC 1.60% of their portfolio Louisville, KY 973,556973.6k $72.5m $72.5m 1.60% Reduced -16.5k -16,532
20 ENVESTNET ASSET MANAGEMENT INC 0.03% of their portfolio Berwyn, PA 904,851904.9k $67.4m $67.4m 0.03% Reduced -60.5k -60,533
21 MEAG MUNICH ERGO, Kapitalanlagegesellschaft mbH 2.26% of their portfolio Munich, 2M 797,985798.0k $59.4m $59.4m 2.26% Added +132.6k +132,590
22 SPX Gestao de Recursos Ltda 4.57% of their portfolio RIO DE JANEIRO, D5 791,933791.9k $59.0m $59.0m 4.57% Added +672.1k +672,095
23 TD Asset Management Inc 0.06% of their portfolio Toronto, A6 790,317790.3k $58.8m $58.8m 0.06% Added +3.5k +3,526
24 BANK OF MONTREAL /CAN/ 0.02% of their portfolio TORONTO, A6 760,886760.9k $57.1m $57.1m 0.02% Added +19.3k +19,254
25 UBS Group AG 0.02% of their portfolio ZURICH, V8 758,768758.8k $56.5m $56.5m 0.02% Added +3.7k +3,704
26 Cullen Capital Management, LLC 0.83% of their portfolio New York, NY 751,712751.7k $56.0m $56.0m 0.83% Reduced -326.9k -326,887
27 SEI INVESTMENTS CO 0.09% of their portfolio OAKS, PA 739,350739.4k $55.1m $55.1m 0.09% Added +17.7k +17,688
28 VAN ECK ASSOCIATES CORP 0.10% of their portfolio NEW YORK, NY 715,829715.8k $53.3m $53.3m 0.10% Added +470.1k +470,073
29 NATIXIS ADVISORS, LLC 0.13% of their portfolio Boston, MA 667,962668.0k $49.7m $49.7m 0.13% Added +771 +771
30 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 620,851620.9k $46.2m $46.2m 0.01% Reduced -6.3k -6,295
31 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 0.40% of their portfolio FRANKFORT, KY 580,080580.1k $43.2m $43.2m 0.40% Reduced -6.9k -6,900
32 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 551,531551.5k $41.1m $41.1m 0.01% Reduced -126.5k -126,501
33 RAYMOND JAMES & ASSOCIATES 0.03% of their portfolio ST PETERSBURG, FL 545,595545.6k $40.6m $40.6m 0.03% Added +1.0k +1,015
34 Pacer Advisors, Inc. 0.11% of their portfolio Malvern, PA 514,422514.4k $38.3m $38.3m 0.11% Reduced -228.1k -228,121
35 DIMENSIONAL FUND ADVISORS LP 0.01% of their portfolio AUSTIN, TX 445,082445.1k $33.1m $33.1m 0.01% Reduced -1.1m -1,117,245
36 ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 0.03% of their portfolio BOSTON, MA 430,112430.1k $32.0m $32.0m 0.03% Reduced -77.1k -77,111
37 CAPITAL ADVISORS INC/OK 0.68% of their portfolio TULSA, OK 406,393406.4k $30.3m $30.3m 0.68% Added +53.4k +53,353
38 Capital Investment Advisors, LLC 0.75% of their portfolio ATLANTA, GA 400,362400.4k $29.8m $29.8m 0.75% Reduced -3.8k -3,827
39 FMR LLC 0.00% of their portfolio BOSTON, MA 389,386389.4k $29.0m $29.0m 0.00% Added +7.4k +7,397
40 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 342,756342.8k $25.5m $25.5m 0.02% Reduced -27.2k -27,175
41 NEW YORK STATE COMMON RETIREMENT FUND 0.04% of their portfolio ALBANY, NY 340,716340.7k $25.4m $25.4m 0.04% Added +113.8k +113,778
42 GABELLI FUNDS LLC 0.20% of their portfolio Rye, NY 340,500340.5k $25.4m $25.4m 0.20% Reduced -8.5k -8,500
43 Carrhae Capital LLP 4.96% of their portfolio London, X0 336,737336.7k $25.1m $25.1m 4.96% New
44 Merewether Investment Management, LP 1.47% of their portfolio DALLAS, TX 334,482334.5k $24.9m $24.9m 1.47% Added +116.0k +115,982
45 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 333,688333.7k $24.8m $24.8m 0.03% Added +12.1k +12,148
46 Rockefeller Capital Management L.P. 0.08% of their portfolio NEW YORK, NY 316,186316.2k $23.5m $23.5m 0.08% Reduced -6.3k -6,306
47 DYNAMO INTERNACIONAL GESTAO DE RECURSOS LTDA. 3.87% of their portfolio RIO DE JANEIRO, D5 291,184291.2k $21.7m $21.7m 3.87% New
48 Epoch Investment Partners, Inc. 0.10% of their portfolio New York, NY 282,834282.8k $21.1m $21.1m 0.10% Reduced -48.3k -48,336
49 KORNITZER CAPITAL MANAGEMENT INC /KS 0.40% of their portfolio SHAWNEE MISSION, KS 275,977276.0k $20.5m $20.5m 0.40% Reduced -2.6k -2,575
50 Point72 Asset Management, L.P. 0.06% of their portfolio STAMFORD, CT 275,200275.2k $20.5m $20.5m 0.06% New
51 NATIONAL BANK OF CANADA /FI/ 0.03% of their portfolio MONTREAL, A8 258,130258.1k $19.2m $19.2m 0.03% Reduced -56.1k -56,115
52 Kapitalo Investimentos Ltda 3.96% of their portfolio SAO PAULO, D5 258,000258.0k $19.2m $19.2m 3.96% Unchanged
53 Encompass Capital Advisors LLC 1.09% of their portfolio New York, NY 250,000250.0k $18.6m $18.6m 1.09% New
54 CAPITAL FUND MANAGEMENT S.A. 0.24% of their portfolio PARIS, I0 248,963249.0k $18.5m $18.5m 0.24% Added +111.6k +111,614
55 Zurich Insurance Group Ltd/FI 0.18% of their portfolio ZURICH, V8 235,921235.9k $17.6m $17.6m 0.18% Reduced -28.2k -28,227
56 AMERICAN CENTURY COMPANIES INC 0.01% of their portfolio KANSAS CITY, MO 234,399234.4k $17.5m $17.5m 0.01% Added +12.4k +12,439
57 Optiver Holding B.V. 0.50% of their portfolio AMSTERDAM, P7 226,515226.5k $16.8m $16.8m 0.50% New
58 Balyasny Asset Management L.P. 0.05% of their portfolio Chicago, IL 224,541224.5k $16.7m $16.7m 0.05% New
59 ExodusPoint Capital Management, LP 0.20% of their portfolio NEW YORK, NY 220,219220.2k $16.4m $16.4m 0.20% Added +82.7k +82,719
60 Aberdeen Group plc 0.03% of their portfolio EDINBURGH, X0 215,100215.1k $16.0m $16.0m 0.03% Added +17.4k +17,400
61 MILLENNIUM MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 211,678211.7k $15.3m $15.3m 0.01% Added +186.6k +186,601
62 Moran Wealth Management, LLC 0.56% of their portfolio NAPLES, FL 210,579210.6k $15.7m $15.7m 0.56% Added +60.2k +60,184
63 Grassi Investment Management 1.60% of their portfolio SANTA CLARA, CA 204,704204.7k $15.2m $15.2m 1.60% Added +150 +150
64 MARSHALL WACE, LLP 0.03% of their portfolio LONDON, X0 204,160204.2k $15.2m $15.2m 0.03% Reduced -234.6k -234,578
65 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 204,150204.2k $15.2m $15.2m 0.02% Added +112.6k +112,604
66 Thomist Capital Management, LP 6.67% of their portfolio Houston, TX 202,500202.5k $15.1m $15.1m 6.67% Reduced -30.1k -30,079
67 MACQUARIE GROUP LTD 0.02% of their portfolio Sydney, NSW 2000, C3 194,978195.0k $14.5m $14.5m 0.02% Reduced -77.3k -77,339
68 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 180,684180.7k $13.5m $13.5m 0.02% Reduced -66.1k -66,053
69 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 179,346179.3k $13.4m $13.4m 0.00% Added +5 +5
70 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 176,735176.7k $13.2m $13.2m 0.02% Reduced -21.2k -21,180
71 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.16% of their portfolio Stamford, CT 162,477162.5k $12.1m $12.1m 0.16% Reduced -22.8k -22,778
72 Pacific Heights Asset Management LLC 1.02% of their portfolio San Francisco, CA 160,000160.0k $11.9m $11.9m 1.02% Unchanged
73 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 159,938159.9k $11.9m $11.9m 0.02% Reduced -17.0k -16,996
74 MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.01% of their portfolio Toronto, A6 152,000152.0k $11.3m $11.3m 0.01% Added +5.8k +5,837
75 Polar Asset Management Partners Inc. 0.30% of their portfolio TORONTO, A6 148,600148.6k $11.1m $11.1m 0.30% Added +900 +900
76 SANDLER CAPITAL MANAGEMENT 1.40% of their portfolio NEW YORK, NY 145,268145.3k $10.8m $10.8m 1.40% New
77 FARALLON CAPITAL MANAGEMENT, L.L.C. 0.06% of their portfolio SAN FRANCISCO, CA 137,500137.5k $10.2m $10.2m 0.06% Unchanged
78 SKBA CAPITAL MANAGEMENT LLC 1.70% of their portfolio San Francisco, CA 135,950135.9k $10.1m $10.1m 1.70% Reduced -2.4k -2,350
79 OPPENHEIMER ASSET MANAGEMENT INC. 0.14% of their portfolio NEW YORK, NY 133,290133.3k $9.9m $9.9m 0.14% Reduced -22.2k -22,243
80 Bell Bank 0.95% of their portfolio FARGO, ND 132,847132.8k $9.9m $9.9m 0.95% Reduced -3.3k -3,277
81 US BANCORP \DE\ 0.01% of their portfolio MINNEAPOLIS, MN 131,221131.2k $9.8m $9.8m 0.01% Added +9.8k +9,814
82 CASTLEARK MANAGEMENT LLC 0.43% of their portfolio CHICAGO, IL 130,970131.0k $9.8m $9.8m 0.43% Unchanged
83 Crestline Management, L.P. 0.90% of their portfolio FORT WORTH, TX 130,823130.8k $9.7m $9.7m 0.90% Reduced -64.4k -64,412
84 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 130,503130.5k $9.7m $9.7m 0.01% Reduced -1.3k -1,257
85 Greenline Partners, LLC 1.64% of their portfolio NEW YORK, NY 130,313130.3k $9.7m $9.7m 1.64% Added +5.1k +5,103
86 Walleye Capital LLC 0.13% of their portfolio NEW YORK, NY 128,123128.1k $9.5m $9.5m 0.13% Added +73.9k +73,912
87 Maven Securities LTD 1.09% of their portfolio ST HELIER, Y9 127,903127.9k $9.5m $9.5m 1.09% Added +52.4k +52,429
88 MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 0.00% of their portfolio Boston, MA 124,622124.6k $9.3m $9.3m 0.00% Added +6.8k +6,785
89 Mariner, LLC 0.02% of their portfolio Overland Park, KS 121,617121.6k $9.1m $9.1m 0.02% Added +11.3k +11,328
90 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.02% of their portfolio BALA CYNWYD, PA 119,679119.7k $8.9m $8.9m 0.02% Added +35.6k +35,582
91 MORGAN DEMPSEY CAPITAL MANAGEMENT LLC 2.70% of their portfolio MILWAUKEE, WI 118,530118.5k $8.8m $8.8m 2.70% Reduced -5.9k -5,933
92 SALEM INVESTMENT COUNSELORS INC 0.29% of their portfolio WINSTON-SALEM, NC 113,360113.4k $8.4m $8.4m 0.29% Added +531 +531
93 Tidal Investments LLC 0.20% of their portfolio Milwaukee, WI 109,520109.5k $8.2m $8.2m 0.20% Reduced -58.6k -58,586
94 MIRABELLA FINANCIAL SERVICES LLP 1.15% of their portfolio London, X0 108,000108.0k $8.0m $8.0m 1.15% New
95 LMCG INVESTMENTS, LLC 0.49% of their portfolio BOSTON, MA 107,289107.3k $8.0m $8.0m 0.49% Added +1.1k +1,090
96 Amundi 0.00% of their portfolio Paris, I0 106,804106.8k $7.6m $7.6m 0.00% Added +25.4k +25,433
97 CAUSEWAY CAPITAL MANAGEMENT LLC 0.20% of their portfolio LOS ANGELES, CA 105,426105.4k $7.9m $7.9m 0.20% Reduced -208.0k -208,036
98 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 105,319105.3k $7.8m $7.8m 0.03% Reduced -12.5k -12,536
99 CAMBRIDGE TRUST CO 0.32% of their portfolio BOSTON, MA 102,838102.8k $7.7m $7.7m 0.32% Reduced -174.7k -174,725
100 BAROMETER CAPITAL MANAGEMENT INC. 2.11% of their portfolio TORONTO, A6 99,80099.8k $7.4m $7.4m 2.11% Reduced -3.0k -3,000