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

Institutional Holders (2014Q4)
Portfolio Summary: 48 Institutional holders with a total value of $31,053,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PERRITT CAPITAL MANAGEMENT INC 1,960,634 5,490,000 17.68%
2 DIMENSIONAL FUND ADVISORS LP 1,843,576 5,162,000 16.62%
3 VANGUARD GROUP INC 1,244,272 3,484,000 11.22%
4 BlackRock Institutional Trust Company, N.A. 894,963 2,506,000 8.07%
5 Adirondack Research & Management Inc. 662,522 1,855,000 5.97%
6 ROYCE & ASSOCIATES LP 634,822 1,778,000 5.73%
7 Pacific Ridge Capital Partners, LLC 602,140 1,686,000 5.43%
8 RENAISSANCE TECHNOLOGIES LLC 450,872 1,262,000 4.06%
9 ARIEL INVESTMENTS, LLC 448,415 1,256,000 4.04%
10 SHEPHERD KAPLAN KROCHUK, LLC 313,171 877,000 2.82%
11 Ancora Advisors LLC 302,900 848,000 2.73%
12 D.A. DAVIDSON & CO. 272,910 764,000 2.46%
13 ESSEX INVESTMENT MANAGEMENT CO LLC 158,472 444,000 1.43%
14 GEODE CAPITAL MANAGEMENT, LLC 135,827 380,000 1.22%
15 JACOBS LEVY EQUITY MANAGEMENT, INC 134,242 376,000 1.21%
16 HEARTLAND ADVISORS INC 134,050 375,000 1.21%
17 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 363,000 1.17%
18 BRIDGEWAY CAPITAL MANAGEMENT, LLC 125,000 350,000 1.13%
19 BlackRock Fund Advisors 105,912 297,000 0.96%
20 NORTHERN TRUST CORP 77,568 218,000 0.70%
21 Bank of New York Mellon Corp 59,474 167,000 0.54%
22 NEW YORK STATE COMMON RETIREMENT FUND 53,516 150,000 0.48%
23 Spark Investment Management LLC 36,100 101,000 0.33%
24 RUSSELL FRANK CO/ 33,100 93,000 0.30%
25 GOLDMAN SACHS GROUP INC 32,275 90,000 0.29%
26 ClariVest Asset Management LLC 32,032 90,000 0.29%
27 ALGERT GLOBAL LLC 30,300 85,000 0.27%
28 GSA CAPITAL PARTNERS LLP 27,199 76,000 0.24%
29 Rotella Capital Management, Inc. 26,226 73,000 0.24%
30 DEUTSCHE BANK AG\ 23,163 64,000 0.21%
31 STATE STREET CORP 19,813 56,000 0.18%
32 Brandywine Global Investment Management, LLC 19,000 54,000 0.17%
33 SUSQUEHANNA INTERNATIONAL GROUP, LLP 12,147 34,000 0.11%
34 A.R.T. Advisors, LLC 10,655 29,000 0.09%
35 WELLS FARGO & COMPANY/MN 10,100 28,000 0.09%
36 BlackRock Investment Management, LLC 5,813 16,000 0.05%
37 THOMPSON SIEGEL & WALMSLEY LLC 5,400 15,000 0.05%
38 Nationwide Fund Advisors 4,715 13,000 0.04%
39 MORGAN STANLEY 3,908 11,000 0.04%
40 MUFG Americas Holdings Corp 3,280 9,000 0.03%
41 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,298 9,000 0.03%
42 Tower Research Capital LLC (TRC) 2,531 7,000 0.02%
43 UBS Group AG 1,846 5,000 0.02%
44 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 4,000 0.01%
45 Focused Wealth Management, Inc 1,000 3,000 0.01%
46 CITIGROUP INC 130 0 0.00%
47 SIMPLEX TRADING, LLC 105 0 0.00%
48 B. Riley Wealth Advisors, Inc. 46 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.