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

Institutional Holders (2016Q3)
Portfolio Summary: 59 Institutional holders with a total value of $74,212,355.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 2,031,875 10,545,000 14.21%
2 DIMENSIONAL FUND ADVISORS LP 1,988,473 10,320,000 13.91%
3 PERRITT CAPITAL MANAGEMENT INC 1,840,181 9,551,000 12.87%
4 VANGUARD GROUP INC 1,513,796 7,857,000 10.59%
5 RENAISSANCE TECHNOLOGIES LLC 912,096 4,734,000 6.38%
6 BlackRock Institutional Trust Company, N.A. 827,231 4,293,000 5.78%
7 Pacific Ridge Capital Partners, LLC 600,040 3,114,000 4.20%
8 Informed Momentum Co LLC 514,827 2,672,000 3.60%
9 ROYCE & ASSOCIATES LP 425,677 2,209,000 2.98%
10 ClariVest Asset Management LLC 369,640 1,918,000 2.58%
11 BRIDGEWAY CAPITAL MANAGEMENT, LLC 326,006 1,692,000 2.28%
12 DEUTSCHE BANK AG\ 286,591 1,487,000 2.00%
13 Ancora Advisors LLC 275,900 1,432,000 1.93%
14 NEW YORK STATE COMMON RETIREMENT FUND 273,880 1,421,000 1.91%
15 Coe Capital Management, LLC 218,071 1,090,355 1.47%
16 WELLS FARGO & COMPANY/MN 195,225 1,013,000 1.37%
17 ESSEX INVESTMENT MANAGEMENT CO LLC 189,450 983,000 1.32%
18 GEODE CAPITAL MANAGEMENT, LLC 188,800 979,000 1.32%
19 OXFORD ASSET MANAGEMENT LLP 162,393 843,000 1.14%
20 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 130,400 677,000 0.91%
21 Hillsdale Investment Management Inc. 97,000 503,000 0.68%
22 BlackRock Fund Advisors 84,068 436,000 0.59%
23 ALGERT GLOBAL LLC 82,825 430,000 0.58%
24 NORTHERN TRUST CORP 73,858 383,000 0.52%
25 MORGAN STANLEY 65,283 339,000 0.46%
26 ACADIAN ASSET MANAGEMENT LLC 58,808 306,000 0.41%
27 FRANKLIN RESOURCES INC 52,881 274,000 0.37%
28 Manatuck Hill Partners, LLC 50,000 260,000 0.35%
29 GOLDMAN SACHS GROUP INC 48,109 250,000 0.34%
30 Virtu KCG Holdings LLC 42,484 220,000 0.30%
31 Bank of New York Mellon Corp 34,295 178,000 0.24%
32 MILLENNIUM MANAGEMENT LLC 33,224 172,000 0.23%
33 SHEPHERD KAPLAN KROCHUK, LLC 27,002 140,000 0.19%
34 Brandywine Global Investment Management, LLC 25,300 132,000 0.18%
35 TFS CAPITAL LLC 24,062 125,000 0.17%
36 PANAGORA ASSET MANAGEMENT INC 23,118 120,000 0.16%
37 C M BIDWELL & ASSOCIATES LTD 23,025 119,000 0.16%
38 ALAMBIC INVESTMENT MANAGEMENT, L.P. 20,700 107,000 0.14%
39 GSA CAPITAL PARTNERS LLP 20,200 105,000 0.14%
40 CITADEL ADVISORS LLC 19,110 99,000 0.13%
41 STATE STREET CORP 18,513 97,000 0.13%
42 JPMORGAN CHASE & CO 18,676 97,000 0.13%
43 Invesco Ltd. 16,769 87,000 0.12%
44 ACROSPIRE INVESTMENT MANAGEMENT LLC 11,823 61,000 0.08%
45 NORDEA INVESTMENT MANAGEMENT AB 11,411 59,000 0.08%
46 WOLVERINE TRADING LP /BD 11,500 57,000 0.08% Call
47 PRELUDE CAPITAL MANAGEMENT, LLC 9,864 51,000 0.07%
48 Walleye Trading LLC 8,600 45,000 0.06%
49 Nationwide Fund Advisors 7,515 39,000 0.05%
50 BlackRock Investment Management, LLC 5,353 28,000 0.04%
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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.