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

Institutional Holders (2014Q2)
Portfolio Summary: 35 Institutional holders with a total value of $24,136,724.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYCE & ASSOCIATES LP 2,826,589 6,049,000 25.06%
2 PERRITT CAPITAL MANAGEMENT INC 2,011,534 4,305,000 17.84%
3 DIMENSIONAL FUND ADVISORS LP 1,675,985 3,587,000 14.86%
4 VANGUARD GROUP INC 1,157,396 2,476,000 10.26%
5 BlackRock Institutional Trust Company, N.A. 915,455 1,959,000 8.12%
6 Adirondack Research & Management Inc. 657,120 1,406,000 5.83%
7 Pacific Ridge Capital Partners, LLC 331,900 710,000 2.94%
8 Ancora Advisors LLC 277,900 595,000 2.47%
9 D.A. DAVIDSON & CO. 272,910 584,000 2.42%
10 SHEPHERD KAPLAN KROCHUK, LLC 213,300 456,000 1.89%
11 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 279,000 1.16%
12 GEODE CAPITAL MANAGEMENT, LLC 128,929 275,000 1.14%
13 RENAISSANCE TECHNOLOGIES LLC 127,509 273,000 1.13%
14 BlackRock Fund Advisors 105,492 226,000 0.94%
15 MORGAN STANLEY 91,719 196,000 0.81%
16 NORTHERN TRUST CORP 76,861 165,000 0.68%
17 Bank of New York Mellon Corp 59,474 127,000 0.53%
18 JACOBS LEVY EQUITY MANAGEMENT, INC 54,716 117,000 0.48%
19 SCHRODER INVESTMENT MANAGEMENT GROUP 41,800 89,452 0.37%
20 GSA CAPITAL PARTNERS LLP 27,199 58,000 0.24%
21 STATE STREET CORP 21,713 47,000 0.19%
22 GUGGENHEIM CAPITAL LLC 18,507 40,000 0.17%
23 WELLS FARGO & COMPANY/MN 10,600 23,000 0.10%
24 UBS AG 9,400 20,000 0.08% Call
25 CITADEL ADVISORS LLC 5,929 13,000 0.05%
26 BlackRock Investment Management, LLC 5,658 12,000 0.05%
27 THOMPSON SIEGEL & WALMSLEY LLC 5,400 12,000 0.05%
28 BLACKROCK ADVISORS LLC 5,011 11,000 0.05%
29 Nationwide Fund Advisors 4,715 10,000 0.04%
30 CITIGROUP INC 2,711 6,000 0.02%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 3,000 0.01%
32 B. Riley Wealth Advisors, Inc. 1,037 2,219 0.01%
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 1,053 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.