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

Institutional Holders (2017Q1)
Portfolio Summary: 94 Institutional holders with a total value of $119,051,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
51 Squarepoint Ops LLC 39,100 227,000 0.19%
52 TWO SIGMA ADVISERS, LP 38,500 223,000 0.19%
53 FRANKLIN RESOURCES INC 37,881 220,000 0.18%
54 D. E. Shaw & Co., Inc. 37,234 216,000 0.18%
55 ELLINGTON MANAGEMENT GROUP LLC 34,100 198,000 0.17%
56 ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 33,700 195,000 0.16%
57 SUSQUEHANNA INTERNATIONAL GROUP, LLP 30,600 177,000 0.15% Call
58 BlueCrest Capital Management Ltd 29,882 173,000 0.15%
59 A.R.T. Advisors, LLC 27,222 157,000 0.13%
60 Brandywine Global Investment Management, LLC 25,100 146,000 0.12%
61 PANAGORA ASSET MANAGEMENT INC 23,118 134,000 0.11%
62 CITADEL ADVISORS LLC 21,805 126,000 0.11%
63 Spot Trading L.L.C 21,200 123,000 0.10% Call
64 GLG Partners LP 20,965 122,000 0.10%
65 Crosspoint Capital Strategies, LLC 20,000 116,000 0.10%
66 Connor, Clark & Lunn Investment Management Ltd. 19,375 112,000 0.09%
67 STATE STREET CORP 18,513 107,000 0.09%
68 SG Americas Securities, LLC 18,149 105,000 0.09%
69 Virtu KCG Holdings LLC 17,774 103,000 0.09%
70 Gotham Asset Management, LLC 17,419 101,000 0.08%
71 WOLVERINE TRADING LP /BD 15,733 91,000 0.08%
72 FNY PARTNERS FUND LP 15,800 91,000 0.08%
73 ACROSPIRE INVESTMENT MANAGEMENT LLC 13,846 80,000 0.07%
74 CREDIT SUISSE AG/ 12,789 74,000 0.06%
75 CITADEL ADVISORS LLC 12,300 71,000 0.06% Call
76 Invesco Ltd. 10,753 62,000 0.05%
77 GUGGENHEIM CAPITAL LLC 10,571 61,000 0.05%
78 Parallax Volatility Advisers, L.P. 8,112 47,000 0.04%
79 DEUTSCHE BANK AG\ 8,300 47,000 0.04%
80 Nationwide Fund Advisors 7,515 44,000 0.04%
81 THOMPSON SIEGEL & WALMSLEY LLC 5,400 31,000 0.03%
82 FOUNDERS CAPITAL MANAGEMENT 4,000 23,000 0.02%
83 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,826 22,000 0.02%
84 GROUP ONE TRADING LLC 3,509 20,000 0.02%
85 CUTLER GROUP LLC / CA 3,100 17,000 0.01%
86 QS Investors, LLC 1,160 7,000 0.01%
87 Spot Trading L.L.C 1,000 6,000 0.01% Put
88 Quantbot Technologies LP 1,020 5,000 0.00%
89 MUFG Americas Holdings Corp 511 3,000 0.00%
90 CUTLER GROUP LLC / CA 30,100 2,000 0.00% Call
91 US BANCORP \DE\ 100 1,000 0.00%
92 MANUFACTURERS LIFE INSURANCE COMPANY, THE 200 1,000 0.00%
93 TCI Wealth Advisors, Inc. 115 1,000 0.00%
94 MASCOMA WEALTH MANAGEMENT LLC 0 0 0.00%
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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.