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

Institutional Holders (2015Q2)
Portfolio Summary: 36 Institutional holders with a total value of $32,217,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 2,905,071 7,321,000 22.72%
2 PERRITT CAPITAL MANAGEMENT INC 1,955,334 4,927,000 15.29%
3 DIMENSIONAL FUND ADVISORS LP 1,878,157 4,733,000 14.69%
4 VANGUARD GROUP INC 1,311,766 3,306,000 10.26%
5 BlackRock Institutional Trust Company, N.A. 836,698 2,108,000 6.54%
6 ROYCE & ASSOCIATES LP 717,577 1,808,000 5.61%
7 Pacific Ridge Capital Partners, LLC 615,200 1,550,000 4.81%
8 RENAISSANCE TECHNOLOGIES LLC 426,624 1,075,000 3.34%
9 Ancora Advisors LLC 335,900 846,000 2.63%
10 NEW YORK STATE COMMON RETIREMENT FUND 332,854 839,000 2.60%
11 Adirondack Research & Management Inc. 255,222 643,000 2.00%
12 HEARTLAND ADVISORS INC 229,064 577,000 1.79%
13 BRIDGEWAY CAPITAL MANAGEMENT, LLC 223,000 562,000 1.74%
14 GEODE CAPITAL MANAGEMENT, LLC 162,495 409,000 1.27%
15 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 329,000 1.02%
16 BlackRock Fund Advisors 90,655 228,000 0.71%
17 SHEPHERD KAPLAN KROCHUK, LLC 81,370 205,000 0.64%
18 Bank of New York Mellon Corp 64,667 163,000 0.51%
19 NORTHERN TRUST CORP 60,409 153,000 0.47%
20 GSA CAPITAL PARTNERS LLP 27,199 69,000 0.21%
21 Spark Investment Management LLC 25,100 62,000 0.19%
22 Brandywine Global Investment Management, LLC 23,400 59,000 0.18%
23 STATE STREET CORP 19,813 52,000 0.16%
24 MORGAN STANLEY 14,810 38,000 0.12%
25 GOLDMAN SACHS GROUP INC 14,894 38,000 0.12%
26 A.R.T. Advisors, LLC 10,755 27,000 0.08%
27 WELLS FARGO & COMPANY/MN 10,000 25,000 0.08%
28 BlackRock Investment Management, LLC 5,813 15,000 0.05%
29 THOMPSON SIEGEL & WALMSLEY LLC 5,400 14,000 0.04%
30 Nationwide Fund Advisors 4,715 12,000 0.04%
31 MUFG Americas Holdings Corp 4,120 10,000 0.03%
32 BANK OF AMERICA CORP /DE/ 2,112 5,000 0.02%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 4,000 0.01%
34 Focused Wealth Management, Inc 1,000 3,000 0.01%
35 Tower Research Capital LLC (TRC) 233 1,000 0.00%
36 MANUFACTURERS LIFE INSURANCE COMPANY, THE 270 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.