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

Institutional Holders (2015Q4)
Portfolio Summary: 117 Institutional holders with a total value of $294,702,832.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 OAK MANAGEMENT CORP 5,571,335 60,505,000 20.53%
2 AWM Investment Company, Inc. 2,233,561 24,256,000 8.23%
3 ROYCE & ASSOCIATES LP 1,760,942 19,124,000 6.49%
4 MASTERS CAPITAL MANAGEMENT LLC 1,607,182 17,454,000 5.92%
5 VANGUARD GROUP INC 1,143,958 12,424,000 4.22%
6 RENAISSANCE TECHNOLOGIES LLC 1,040,787 11,303,000 3.84%
7 DIMENSIONAL FUND ADVISORS LP 844,164 9,168,000 3.11%
8 BlackRock Institutional Trust Company, N.A. 735,074 7,983,000 2.71%
9 BlackRock Fund Advisors 729,800 7,926,000 2.69%
10 Adirondack Research & Management Inc. 604,653 6,567,000 2.23%
11 SYSTEMATIC FINANCIAL MANAGEMENT LP 572,150 6,213,000 2.11%
12 OXFORD ASSET MANAGEMENT LLP 502,121 5,434,000 1.84%
13 Informed Momentum Co LLC 484,762 5,265,000 1.79%
14 DRIEHAUS CAPITAL MANAGEMENT LLC 455,828 4,950,000 1.68%
15 AMERIPRISE FINANCIAL INC 450,326 4,891,000 1.66%
16 CITADEL ADVISORS LLC 441,787 4,798,000 1.63%
17 RUSSELL FRANK CO/ 382,630 4,317,000 1.46%
18 STATE STREET CORP 379,455 4,122,000 1.40%
19 AQR CAPITAL MANAGEMENT LLC 352,445 3,828,000 1.30%
20 NEW YORK STATE COMMON RETIREMENT FUND 349,315 3,794,000 1.29%
21 BOGLE INVESTMENT MANAGEMENT L P /DE/ 346,285 3,760,000 1.28%
22 BANK OF MONTREAL /CAN/ 344,275 3,739,000 1.27%
23 GEODE CAPITAL MANAGEMENT, LLC 330,880 3,592,000 1.22%
24 QS Investors, LLC 323,243 3,510,000 1.19%
25 Shinko Asset Management Co., Ltd. 284,879 3,094,000 1.05%
26 Fisher Asset Management, LLC 284,879 3,094,000 1.05%
27 BRIDGEWAY CAPITAL MANAGEMENT, LLC 276,328 3,001,000 1.02%
28 NORTHERN TRUST CORP 267,361 2,903,000 0.99%
29 NORTHPOINTE CAPITAL LLC 423,300 2,883,000 0.98%
30 WHITE PINE CAPITAL LLC 206,350 2,241,000 0.76%
31 Bank of New York Mellon Corp 178,852 1,942,000 0.66%
32 MILLENNIUM MANAGEMENT LLC 164,400 1,785,000 0.61%
33 True Bearing Asset Management LP 163,229 1,773,000 0.60%
34 CHICAGO EQUITY PARTNERS LLC 155,710 1,691,000 0.57%
35 AMERICAN CENTURY COMPANIES INC 155,135 1,685,000 0.57%
36 TIAA CREF INVESTMENT MANAGEMENT LLC 146,489 1,591,000 0.54%
37 WALL STREET ASSOCIATES 116,500 1,265,000 0.43%
38 BlackRock Investment Management, LLC 106,769 1,160,000 0.39%
39 WELLS FARGO & COMPANY/MN 104,394 1,133,000 0.38%
40 ALGERT GLOBAL LLC 89,875 976,000 0.33%
41 VICTORY CAPITAL MANAGEMENT INC 88,184 958,000 0.33%
42 ANALYTIC INVESTORS, LLC 82,833 900,000 0.31%
43 1492 Capital Management LLC 81,656 887,000 0.30%
44 DEERE & CO 78,084 848,000 0.29%
45 Cambridge Investment Research Advisors, Inc. 75,379 819,000 0.28%
46 SHAKER INVESTMENTS LLC/OH 75,000 815,000 0.28%
47 CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 74,851 813,000 0.28%
48 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 70,200 762,000 0.26%
49 ClariVest Asset Management LLC 69,700 757,000 0.26%
50 PRINCETON CAPITAL MANAGEMENT INC 69,625 756,000 0.26%
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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.