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

Institutional Holders (2015Q1)
Portfolio Summary: 38 Institutional holders with a total value of $34,272,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 2,705,520 7,278,000 21.24%
2 PERRITT CAPITAL MANAGEMENT INC 1,957,334 5,265,000 15.36%
3 DIMENSIONAL FUND ADVISORS LP 1,886,934 5,076,000 14.81%
4 VANGUARD GROUP INC 1,294,029 3,481,000 10.16%
5 BlackRock Institutional Trust Company, N.A. 840,290 2,260,000 6.59%
6 ROYCE & ASSOCIATES LP 707,577 1,903,000 5.55%
7 Pacific Ridge Capital Partners, LLC 622,060 1,673,000 4.88%
8 RENAISSANCE TECHNOLOGIES LLC 441,710 1,188,000 3.47%
9 Ancora Advisors LLC 0 842,000 2.46%
10 NEW YORK STATE COMMON RETIREMENT FUND 311,200 837,000 2.44%
11 Adirondack Research & Management Inc. 252,122 678,000 1.98%
12 BRIDGEWAY CAPITAL MANAGEMENT, LLC 223,000 600,000 1.75%
13 HEARTLAND ADVISORS INC 200,000 538,000 1.57%
14 GEODE CAPITAL MANAGEMENT, LLC 162,363 436,000 1.27%
15 ESSEX INVESTMENT MANAGEMENT CO LLC 157,267 423,000 1.23%
16 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 363,000 1.06%
17 SHEPHERD KAPLAN KROCHUK, LLC 102,170 275,000 0.80%
18 BlackRock Fund Advisors 99,192 267,000 0.78%
19 NORTHERN TRUST CORP 74,403 200,000 0.58%
20 Bank of New York Mellon Corp 59,566 160,000 0.47%
21 Spark Investment Management LLC 36,800 96,000 0.28%
22 ALGERT GLOBAL LLC 30,300 82,000 0.24%
23 GSA CAPITAL PARTNERS LLP 27,199 73,000 0.21%
24 Brandywine Global Investment Management, LLC 23,400 63,000 0.18%
25 STATE STREET CORP 19,813 54,000 0.16%
26 GOLDMAN SACHS GROUP INC 11,443 31,000 0.09%
27 A.R.T. Advisors, LLC 10,455 28,000 0.08%
28 WELLS FARGO & COMPANY/MN 10,000 27,000 0.08%
29 BlackRock Investment Management, LLC 5,813 16,000 0.05%
30 THOMPSON SIEGEL & WALMSLEY LLC 5,400 15,000 0.04%
31 Nationwide Fund Advisors 4,715 13,000 0.04%
32 MUFG Americas Holdings Corp 4,120 11,000 0.03%
33 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,298 9,000 0.03%
34 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 4,000 0.01%
35 MORGAN STANLEY 1,200 4,000 0.01%
36 Focused Wealth Management, Inc 1,000 3,000 0.01%
37 DEUTSCHE BANK AG\ 110 0 0.00%
38 UBS Group AG 181 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.