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

Institutional Holders (2016Q1)
Portfolio Summary: 35 Institutional holders with a total value of $31,232,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 3,242,688 8,009,000 25.64%
2 DIMENSIONAL FUND ADVISORS LP 1,841,194 4,548,000 14.56%
3 PERRITT CAPITAL MANAGEMENT INC 1,840,181 4,545,000 14.55%
4 VANGUARD GROUP INC 1,398,640 3,455,000 11.06%
5 BlackRock Institutional Trust Company, N.A. 827,231 2,043,000 6.54%
6 Pacific Ridge Capital Partners, LLC 657,160 1,623,000 5.20%
7 ROYCE & ASSOCIATES LP 508,177 1,255,000 4.02%
8 RENAISSANCE TECHNOLOGIES LLC 481,800 1,190,000 3.81%
9 NEW YORK STATE COMMON RETIREMENT FUND 401,694 992,000 3.18%
10 Ancora Advisors LLC 335,900 830,000 2.66%
11 BRIDGEWAY CAPITAL MANAGEMENT, LLC 326,006 805,000 2.58%
12 GEODE CAPITAL MANAGEMENT, LLC 161,428 398,000 1.27%
13 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 322,000 1.03%
14 BlackRock Fund Advisors 85,475 211,000 0.68%
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 84,271 208,000 0.67%
16 Manatuck Hill Partners, LLC 80,000 198,000 0.63%
17 Bank of New York Mellon Corp 64,667 160,000 0.51%
18 NORTHERN TRUST CORP 62,927 155,000 0.50%
19 COLDSTREAM CAPITAL MANAGEMENT INC 31,150 77,000 0.25%
20 Brandywine Global Investment Management, LLC 25,300 63,000 0.20%
21 STATE STREET CORP 19,813 49,000 0.16%
22 WELLS FARGO & COMPANY/MN 10,000 25,000 0.08%
23 BlackRock Investment Management, LLC 6,259 15,000 0.05%
24 THOMPSON SIEGEL & WALMSLEY LLC 5,400 13,000 0.04%
25 Nationwide Fund Advisors 4,715 12,000 0.04%
26 Tower Research Capital LLC (TRC) 4,049 10,000 0.03%
27 MUFG Americas Holdings Corp 2,760 7,000 0.02%
28 MORGAN STANLEY 1,548 4,000 0.01%
29 UBS Group AG 1,334 3,000 0.01%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,450 3,000 0.01%
31 Focused Wealth Management, Inc 1,000 2,000 0.01%
32 Walleye Trading LLC 500 1,000 0.00%
33 MANUFACTURERS LIFE INSURANCE COMPANY, THE 418 1,000 0.00%
34 SIMPLEX TRADING, LLC 64 0 0.00%
35 CUTLER GROUP LLC / CA 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.