APPLIED OPTOELECTRONICS INC

CUSIP: 03823UAE2 Class: NOTE 2.750% 1/1

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
LINDEN ADVISORS LP24,250,000$28,051
D. E. Shaw & Co., Inc.23,089,000$26,473
Graham Capital Management, L.P.23,067,000$26,510
Context Capital Management, LLC15,559,000$18,006
ABSOLUTE INVESTMENT ADVISERS, LLC9,000,000$10,395
ADVENT CAPITAL MANAGEMENT /DE/7,756,000$9,075
AGF MANAGEMENT LTD4,600,000$5,278
CSS LLC/IL2,755,000$3,178
SSI INVESTMENT MANAGEMENT LLC2,250,000$2,581
BNP PARIBAS ARBITRAGE, SA530,000$608
LAZARD ASSET MANAGEMENT LLC312,000$4
INSIGNEO ADVISORY SERVICES, LLC17,000$20
SG Americas Securities, LLC12,000$1
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC12,000$15
K2 PRINCIPAL FUND, L.P.9,000$10,434
Total (15 institutions)113,218,000$140,628