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AXT INC COM
AXT INC COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 39 Institutional holders with a total value of $25,349,023.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYCE & ASSOCIATES LP 3,216,415 7,076,000 27.91%
2 PERRITT CAPITAL MANAGEMENT INC 2,000,834 4,402,000 17.37%
3 DIMENSIONAL FUND ADVISORS LP 1,664,554 3,662,000 14.45%
4 VANGUARD GROUP INC 1,147,364 2,524,000 9.96%
5 BlackRock Institutional Trust Company, N.A. 908,651 1,999,000 7.89%
6 Adirondack Research & Management Inc. 672,644 1,480,000 5.84%
7 Pacific Ridge Capital Partners, LLC 335,330 738,000 2.91%
8 D.A. DAVIDSON & CO. 272,910 600,000 2.37%
9 Ancora Advisors LLC 253,400 557,000 2.20%
10 SHEPHERD KAPLAN KROCHUK, LLC 137,500 303,000 1.20%
11 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 299,000 1.18%
12 GEODE CAPITAL MANAGEMENT, LLC 129,061 283,000 1.12%
13 BlackRock Fund Advisors 102,476 225,000 0.89%
14 MORGAN STANLEY 91,630 201,000 0.79%
15 RENAISSANCE TECHNOLOGIES LLC 77,700 171,000 0.67%
16 NORTHERN TRUST CORP 77,698 171,000 0.67%
17 Bank of New York Mellon Corp 58,886 130,000 0.51%
18 SCHRODER INVESTMENT MANAGEMENT GROUP 41,800 91,960 0.36%
19 JACOBS LEVY EQUITY MANAGEMENT, INC 35,361 78,000 0.31%
20 GSA CAPITAL PARTNERS LLP 27,199 60,000 0.24%
21 STATE STREET CORP 21,713 48,000 0.19%
22 GUGGENHEIM CAPITAL LLC 20,357 45,000 0.18%
23 PANAGORA ASSET MANAGEMENT INC 20,081 44,000 0.17%
24 CITADEL ADVISORS LLC 12,594 28,000 0.11%
25 Spark Investment Management LLC 10,900 23,000 0.09%
26 WELLS FARGO & COMPANY/MN 10,600 23,000 0.09%
27 GOLDMAN SACHS GROUP INC 10,440 23,000 0.09%
28 UBS AG 7,284 16,000 0.06%
29 THOMPSON SIEGEL & WALMSLEY LLC 5,400 12,000 0.05%
30 BLACKROCK ADVISORS LLC 5,011 11,000 0.04%
31 Nationwide Fund Advisors 4,715 10,000 0.04%
32 CITIGROUP INC 2,711 6,000 0.02%
33 MANUFACTURERS LIFE INSURANCE COMPANY, THE 915 2,000 0.01%
34 Focused Wealth Management, Inc 1,000 2,000 0.01%
35 BNP PARIBAS FINANCIAL MARKETS 492 1,063 0.00%
36 DEUTSCHE BANK AG\ 843 1,000 0.00%
37 Tower Research Capital LLC (TRC) 600 1,000 0.00%
38 BlackRock Investment Management, LLC 502 1,000 0.00%
39 LADENBURG THALMANN FINANCIAL SERVICES INC. 450 1,000 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.