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

Institutional Holders (2015Q3)
Portfolio Summary: 36 Institutional holders with a total value of $27,229,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 3,732,390 7,166,000 26.32%
2 PERRITT CAPITAL MANAGEMENT INC 1,952,487 3,749,000 13.77%
3 DIMENSIONAL FUND ADVISORS LP 1,866,606 3,584,000 13.16%
4 VANGUARD GROUP INC 1,331,106 2,556,000 9.39%
5 BlackRock Institutional Trust Company, N.A. 836,698 1,606,000 5.90%
6 ROYCE & ASSOCIATES LP 653,177 1,254,000 4.61%
7 Pacific Ridge Capital Partners, LLC 616,400 1,183,000 4.34%
8 HEARTLAND ADVISORS INC 500,000 960,000 3.53%
9 NEW YORK STATE COMMON RETIREMENT FUND 440,700 846,000 3.11%
10 RENAISSANCE TECHNOLOGIES LLC 438,200 841,000 3.09%
11 Ancora Advisors LLC 335,900 645,000 2.37%
12 ADIRONDACK FUNDS 277,040 532,000 1.95%
13 Adirondack Research & Management Inc. 277,040 532,000 1.95%
14 BRIDGEWAY CAPITAL MANAGEMENT, LLC 226,006 434,000 1.59%
15 GEODE CAPITAL MANAGEMENT, LLC 162,759 312,000 1.15%
16 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 250,000 0.92%
17 BlackRock Fund Advisors 88,321 170,000 0.62%
18 Bank of New York Mellon Corp 64,667 124,000 0.46%
19 NORTHERN TRUST CORP 62,927 121,000 0.44%
20 SHEPHERD KAPLAN KROCHUK, LLC 46,864 90,000 0.33%
21 Brandywine Global Investment Management, LLC 28,600 55,000 0.20%
22 GSA CAPITAL PARTNERS LLP 27,199 52,000 0.19%
23 Virtu KCG Holdings LLC 20,968 40,000 0.15%
24 STATE STREET CORP 19,813 38,000 0.14%
25 A.R.T. Advisors, LLC 10,555 20,000 0.07%
26 WELLS FARGO & COMPANY/MN 10,000 19,000 0.07%
27 BlackRock Investment Management, LLC 5,813 11,000 0.04%
28 THOMPSON SIEGEL & WALMSLEY LLC 5,400 10,000 0.04%
29 MUFG Americas Holdings Corp 4,600 9,000 0.03%
30 Nationwide Fund Advisors 4,715 9,000 0.03%
31 MORGAN STANLEY 2,099 4,000 0.01%
32 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 3,000 0.01%
33 MANUFACTURERS LIFE INSURANCE COMPANY, THE 827 2,000 0.01%
34 Focused Wealth Management, Inc 1,000 2,000 0.01%
35 UBS Group AG 113 0 0.00%
36 BANK OF AMERICA CORP /DE/ 66 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.