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

Institutional Holders (2015Q4)
Portfolio Summary: 33 Institutional holders with a total value of $32,343,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 3,470,140 8,606,000 26.61%
2 PERRITT CAPITAL MANAGEMENT INC 1,943,387 4,820,000 14.90%
3 DIMENSIONAL FUND ADVISORS LP 1,835,794 4,553,000 14.08%
4 VANGUARD GROUP INC 1,388,164 3,443,000 10.65%
5 BlackRock Institutional Trust Company, N.A. 827,231 2,052,000 6.34%
6 Pacific Ridge Capital Partners, LLC 654,410 1,623,000 5.02%
7 ROYCE & ASSOCIATES LP 618,177 1,533,000 4.74%
8 RENAISSANCE TECHNOLOGIES LLC 458,000 1,136,000 3.51%
9 NEW YORK STATE COMMON RETIREMENT FUND 440,700 1,093,000 3.38%
10 Ancora Advisors LLC 335,900 833,000 2.58%
11 BRIDGEWAY CAPITAL MANAGEMENT, LLC 226,006 560,000 1.73%
12 GEODE CAPITAL MANAGEMENT, LLC 161,515 400,000 1.24%
13 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 323,000 1.00%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 121,000 300,000 0.93% Call
15 Adirondack Research & Management Inc. 118,355 294,000 0.91%
16 BlackRock Fund Advisors 92,023 228,000 0.70%
17 Bank of New York Mellon Corp 64,667 160,000 0.49%
18 NORTHERN TRUST CORP 62,927 156,000 0.48%
19 Brandywine Global Investment Management, LLC 29,300 73,000 0.23%
20 STATE STREET CORP 19,813 49,000 0.15%
21 WELLS FARGO & COMPANY/MN 10,000 25,000 0.08%
22 MORGAN STANLEY 9,160 23,000 0.07%
23 BlackRock Investment Management, LLC 6,259 16,000 0.05%
24 THOMPSON SIEGEL & WALMSLEY LLC 5,400 13,000 0.04%
25 Nationwide Fund Advisors 4,715 12,000 0.04%
26 MUFG Americas Holdings Corp 4,600 11,000 0.03%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 3,000 0.01%
28 Focused Wealth Management, Inc 1,000 2,000 0.01%
29 MANUFACTURERS LIFE INSURANCE COMPANY, THE 827 2,000 0.01%
30 UBS Group AG 343 1,000 0.00%
31 GROUP ONE TRADING LLC 100 0 0.00%
32 CUTLER GROUP LLC / CA 200 0 0.00%
33 Walleye Trading LLC 200 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.