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NEOPHOTONICS CORP
NEOPHOTONICS CORP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 64 Institutional holders with a total value of $89,041,638.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYCE & ASSOCIATES LP 1,723,436 13,667,000 15.35%
2 MARXE AUSTIN W & GREENHOUSE DAVID M 1,691,354 13,412,000 15.06%
3 MASTERS CAPITAL MANAGEMENT LLC 1,663,200 13,189,000 14.81%
4 Penn Capital Management Company, LLC 612,778 4,859,000 5.46%
5 BlackRock Fund Advisors 563,146 4,466,000 5.02%
6 Senvest Management, LLC 456,686 3,622,000 4.07%
7 QUENTEC ASSET MANAGEMENT LLC 414,500 3,287,000 3.69%
8 VANGUARD GROUP INC 382,893 3,036,000 3.41%
9 Invicta Capital Management, LLC 380,000 3,013,000 3.38%
10 NORTHERN TRUST CORP 258,014 2,047,000 2.30%
11 STATE STREET CORP 253,657 2,010,000 2.26%
12 WHITE PINE CAPITAL LLC 208,183 1,651,000 1.85%
13 BRIDGEWAY CAPITAL MANAGEMENT, LLC 203,900 1,617,000 1.82%
14 BlackRock Institutional Trust Company, N.A. 201,658 1,599,000 1.80%
15 G2 Investment Partners Management LLC 183,100 1,452,000 1.63%
16 DIMENSIONAL FUND ADVISORS LP 170,306 1,350,000 1.52%
17 Adirondack Research & Management Inc. 149,400 1,185,000 1.33%
18 SHUFRO ROSE & CO LLC 128,300 1,017,000 1.14%
19 RENAISSANCE TECHNOLOGIES LLC 107,800 855,000 0.96%
20 RUSSELL FRANK CO/ 134,054 794,000 0.89%
21 GEODE CAPITAL MANAGEMENT, LLC 98,734 782,000 0.88%
22 DIALECTIC CAPITAL MANAGEMENT, LP 93,569 742,000 0.83%
23 TIAA CREF INVESTMENT MANAGEMENT LLC 91,912 729,000 0.82%
24 NEEDHAM INVESTMENT MANAGEMENT LLC 87,922 697,000 0.78%
25 D. E. Shaw & Co., Inc. 83,262 660,000 0.74%
26 Bank of New York Mellon Corp 79,786 633,000 0.71%
27 Timpani Capital Management LLC 78,522 623,000 0.70%
28 FRIESS ASSOCIATES LLC 70,000 555,000 0.62%
29 BlackRock Investment Management, LLC 69,091 548,000 0.62%
30 PRINCETON CAPITAL MANAGEMENT INC 68,000 539,000 0.61%
31 Geduld E E 65,864 522,000 0.59%
32 JACOBS LEVY EQUITY MANAGEMENT, INC 46,062 365,000 0.41%
33 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 36,346 288,000 0.32%
34 ALLIANCEBERNSTEIN L.P. 32,000 254,000 0.29%
35 TEACHERS ADVISORS, LLC 30,311 240,000 0.27%
36 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 26,800 213,000 0.24%
37 RHUMBLINE ADVISERS 24,479 194,000 0.22%
38 CREDIT SUISSE AG/ 24,139 191,000 0.21%
39 Nationwide Fund Advisors 22,277 177,000 0.20%
40 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,500 170,000 0.19% Call
41 PARAMETRIC PORTFOLIO ASSOCIATES LLC 21,494 170,000 0.19%
42 ProShare Advisors LLC 20,405 162,000 0.18%
43 GOLDMAN SACHS GROUP INC 19,522 155,000 0.17%
44 DEUTSCHE BANK AG\ 19,105 151,000 0.17%
45 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 19,700 150,000 0.17%
46 MORGAN STANLEY 16,646 132,000 0.15%
47 Glacier Peak Capital LLC 16,334 130,000 0.15%
48 MANUFACTURERS LIFE INSURANCE COMPANY, THE 15,195 120,000 0.13%
49 BLACKROCK ADVISORS LLC 15,112 120,000 0.13%
50 AMERICAN INTERNATIONAL GROUP, INC. 13,725 108,839 0.12%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.