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

Institutional Holders (2014Q4)
Portfolio Summary: 39 Institutional holders with a total value of $35,715,436.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 AWM Investment Company, Inc. 2,230,997 7,541,000 21.11%
2 MASTERS CAPITAL MANAGEMENT LLC 2,000,000 6,760,000 18.93%
3 ROYCE & ASSOCIATES LP 1,760,605 5,951,000 16.66%
4 Adirondack Research & Management Inc. 808,973 2,734,000 7.65%
5 Penn Capital Management Company, LLC 537,836 1,818,000 5.09%
6 WHITE PINE CAPITAL LLC 464,265 1,569,000 4.39%
7 VANGUARD GROUP INC 422,526 1,428,000 4.00%
8 RENAISSANCE TECHNOLOGIES LLC 408,400 1,380,000 3.86%
9 Boston Partners 236,880 801,000 2.24%
10 RUSSELL FRANK CO/ 191,300 666,000 1.86%
11 DIMENSIONAL FUND ADVISORS LP 174,732 591,000 1.65%
12 SHUFRO ROSE & CO LLC 157,300 531,000 1.49%
13 BRIDGEWAY CAPITAL MANAGEMENT, LLC 147,000 497,000 1.39%
14 BlackRock Institutional Trust Company, N.A. 134,659 455,000 1.27%
15 JACOBS LEVY EQUITY MANAGEMENT, INC 121,720 411,000 1.15%
16 GEODE CAPITAL MANAGEMENT, LLC 86,035 290,000 0.81%
17 NORTHPOINTE CAPITAL LLC 79,990 270,000 0.76%
18 DEUTSCHE BANK AG\ 75,765 256,000 0.72%
19 Spark Investment Management LLC 69,700 235,000 0.66%
20 PRINCETON CAPITAL MANAGEMENT INC 64,500 218,000 0.61%
21 BlackRock Fund Advisors 63,505 215,000 0.60%
22 BlackRock Group LTD 56,928 192,000 0.54%
23 BOOTHBAY FUND MANAGEMENT, LLC 47,653 161,000 0.45%
24 NORTHERN TRUST CORP 34,992 119,000 0.33%
25 Nine Chapters Capital Management LLC 31,500 106,000 0.30%
26 MILLENNIUM MANAGEMENT LLC 28,776 97,000 0.27%
27 GOLDMAN SACHS GROUP INC 28,645 97,000 0.27%
28 ALGERT GLOBAL LLC 19,280 65,000 0.18%
29 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 19,700 58,000 0.16%
30 Rotella Capital Management, Inc. 15,973 54,000 0.15%
31 Bank of New York Mellon Corp 15,338 52,000 0.15%
32 STATE STREET CORP 11,453 40,000 0.11%
33 Nationwide Fund Advisors 6,970 24,000 0.07%
34 MORGAN STANLEY 4,159 14,000 0.04%
35 BlackRock Investment Management, LLC 3,487 12,000 0.03%
36 Invesco Ltd. 1,833 6,000 0.02%
37 Tower Research Capital LLC (TRC) 159 1,000 0.00%
38 AMERICAN INTERNATIONAL GROUP, INC. 129 436 0.00%
39 B. Riley Wealth Advisors, Inc. 15 0 0.00%

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.