Notable Holders of AXT, Inc. (AXTI)
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* Does Not Fully Represent All Holders
| Fund | Title | Shares | % Owned | Source |
|---|---|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | COM | 2,637,276 | 8.09% | 13F |
| NEEDHAM INVESTMENT MANAGEMENT LLC | COM | 2,160,450 | 6.63% | 13F |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC | COM | 1,971,041 | 6.05% | 13F |
| VANGUARD GROUP INC | COM | 1,781,943 | 5.47% | 13F |
| GRANAHAN INVESTMENT MANAGEMENT INC/MA | COM | 1,288,139 | 3.95% | 13F |
| Pacific Ridge Capital Partners, LLC | COM | 1,210,096 | 3.71% | 13F |
| ROYCE & ASSOCIATES LLC | COM | 1,099,809 | 3.37% | 13F |
| SYSTEMATIC FINANCIAL MANAGEMENT LP | COM | 951,441 | 2.92% | 13F |
| BlackRock Institutional Trust Company, N.A. | COM | 785,287 | 2.41% | 13F |
| KENNEDY CAPITAL MANAGEMENT INC | COM | 644,258 | 1.98% | 13F |
| Game Plan Financial Advisors, LLC | COM | 640,000 | 1.96% | 13F |
| MILLENNIUM MANAGEMENT LLC | COM | 545,288 | 1.67% | 13F |
| Portolan Capital Management, LLC | COM | 510,908 | 1.57% | 13F |
| WHITE PINE CAPITAL LLC | COM | 410,390 | 1.26% | 13F |
| BRIDGEWAY CAPITAL MANAGEMENT INC | COM | 403,625 | 1.24% | 13F |
| GEODE CAPITAL MANAGEMENT LLC | COM | 397,707 | 1.22% | 13F |
| GSA CAPITAL PARTNERS LLP | COM | 377,321 | 1.16% | 13F |
| RENAISSANCE TECHNOLOGIES LLC | COM | 369,012 | 1.13% | 13F |
| BANK OF AMERICA CORP /DE/ | COM | 366,119 | 1.12% | 13F |
| NOMURA HOLDINGS INC | COM | 290,616 | 0.89% | 13F |
| D. E. Shaw & Co., INC. | COM | 280,290 | 0.86% | 13F |
| Foundry Partners, LLC | COM | 279,805 | 0.86% | 13F |
| Adirondack Funds | COM | 277,040 | 0.85% | 13F |
| Goldman Sachs Asset Management, L.P. | CMN | 269,411 | 0.83% | 13F |
| PRINCETON CAPITAL MANAGEMENT INC | COM | 265,891 | 0.82% | 13F |
| STATE STREET CORP | COM | 249,260 | 0.76% | 13F |
| Walleye Trading Advisors, LLC | COM | 208,700 | 0.64% | 13F |
| RAYMOND JAMES FINANCIAL INC | COM | 180,764 | 0.55% | 13F |
| DAVIDSON D A & CO | COM | 159,903 | 0.49% | 13F |
| Herald Investment Management Ltd | COM | 150,000 | 0.46% | 13F |
| TWO SIGMA ADVISERS, LLC | COM | 149,900 | 0.46% | 13F |
| Keystone Wealth Services, LLC | COM | 148,686 | 0.46% | 13F |
| FRIESS ASSOCIATES LLC | COM | 140,300 | 0.43% | 13F |
| TWO SIGMA INVESTMENTS LLC | COM | 132,589 | 0.41% | 13F |
| STATE OF WISCONSIN INVESTMENT BOARD | COM | 132,400 | 0.41% | 13F |
| INSIGHT CAPITAL RESEARCH & MANAGEMENT INC | COM | 125,078 | 0.38% | 13F |
| EA Series Trust | COM | 122,625 | 0.38% | 13F |
| Empowered Funds, LLC | COM | 122,625 | 0.38% | 13F |
| FIRST TRUST ADVISORS LP | COM | 108,728 | 0.33% | 13F |
| Susquehanna International Group, LLP | COM | 100,813 | 0.31% | 13F |
| UBS Group AG | COM | 99,744 | 0.31% | 13F |
| HUDSON CANYON INVESTMENT COUNSELORS LLC | COM | 97,604 | 0.30% | 13F |
| NORTHERN TRUST CORP | COM | 92,805 | 0.28% | 13F |
| BlackRock Fund Advisors | COM | 87,006 | 0.27% | 13F |
| BARCLAYS PLC | COM | 86,582 | 0.27% | 13F |
| Schonfeld Strategic Advisors LLC | COM | 84,477 | 0.26% | 13F |
| Creative Planning | COM | 82,448 | 0.25% | 13F |
| Qube Research & Technologies Ltd | COM | 82,074 | 0.25% | 13F |
| TEACHERS ADVISORS INC | CS | 80,216 | 0.25% | 13F |
| TIAA CREF INVESTMENT MANAGEMENT LLC | CS | 78,956 | 0.24% | 13F |
| SEI INVESTMENTS CO | COM | 69,277 | 0.21% | 13F |
| Assenagon Asset Management S.A. | COM | 66,223 | 0.20% | 13F |
| Jump Financial, LLC | Common Stock | 59,408 | 0.18% | 13F |
| OCCUDO QUANTITATIVE STRATEGIES LP | COM | 59,160 | 0.18% | 13F |
| GROUP ONE TRADING, L.P. (CALL) | COM | 57,800 | 0.18% | 13F |
| LADENBURG THALMANN FINANCIAL SERVICES INC | COM | 56,700 | 0.17% | 13F |
| Connor, Clark & Lunn Investment Management Ltd. | COM | 53,355 | 0.16% | 13F |
| Park Edge Advisors, LLC | COM | 47,933 | 0.15% | 13F |
| XTX Topco Ltd | COM | 44,568 | 0.14% | 13F |
| Y-Intercept (Hong Kong) Ltd | COM | 44,062 | 0.14% | 13F |
| Millrace Asset Group, Inc. | Common Stocks | 44,046 | 0.14% | 13F |
| Ancora Advisors, LLC | COM | 41,357 | 0.13% | 13F |
| Ergoteles LLC | COM | 40,700 | 0.12% | 13F |
| FNY Partners Fund LP | COM | 37,500 | 0.12% | 13F |
| SPRINGBOK CAPITAL MANAGEMENT, LLC | COM | 30,558 | 0.09% | 13F |
| SIMPLEX TRADING, LLC | COM | 29,277 | 0.09% | 13F |
| Laurion Capital Management LP | COM | 28,273 | 0.09% | 13F |
| DRW Securities, LLC | COM | 26,900 | 0.08% | 13F |
| WELLS FARGO & CO/MN | COM | 26,334 | 0.08% | 13F |
| Quadrature Capital Ltd | COM | 25,875 | 0.08% | 13F |
| Verition Fund Management LLC | COM | 25,393 | 0.08% | 13F |
| BRINKER CAPITAL INC | COM | 25,048 | 0.08% | 13F |
| BBK Capital Partners, LLC | COM | 24,250 | 0.07% | 13F |
| CLS Investments, LLC | COM | 24,112 | 0.07% | 13F |
| Citadel (CALL) | COM | 23,800 | 0.07% | 13F |
| Orion Portfolio Solutions, LLC | COM | 23,763 | 0.07% | 13F |
| Spot Trading L.L.C (CALL) | COM | 21,200 | 0.07% | 13F |
| Marshall Wace LLP | COMMON STOCK | 18,219 | 0.06% | 13F |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | COM | 15,887 | 0.05% | 13F |
| Leucadia National | COM | 14,967 | 0.05% | 13F |
| AE Wealth Management LLC | COM | 13,411 | 0.04% | 13F |
| Arcadia Wealth Management, LLC | COM | 13,366 | 0.04% | 13F |
| GENESEE VALLEY TRUST CO | Com | 12,532 | 0.04% | 13F |
| COMMONWEALTH EQUITY SERVICES, LLC. | COM | 12,467 | 0.04% | 13F |
| PARAMETRIC PORTFOLIO ASSOCIATES | Common Stock | 11,353 | 0.03% | 13F |
| ROYAL BANK OF CANADA \ | COM | 10,974 | 0.03% | 13F |
| Point72 Middle East FZE | COM | 10,876 | 0.03% | 13F |
| MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | COM | 10,788 | 0.03% | 13F |
| Morling Financial Advisors, LLC | COM | 10,000 | 0.03% | 13F |
| Winslow, Evans & Crocker, Inc. | COM | 9,437 | 0.03% | 13F |
| CITIGROUP INC | COM | 9,133 | 0.03% | 13F |
| Goss Wealth Management LLC | Common Stock | 8,574 | 0.03% | 13F |
| Quantbot Technologies LLC | COM | 6,500 | 0.02% | 13F |
| BlackRock Investment Management, LLC | COM | 5,179 | 0.02% | 13F |
| RHUMBLINE ADVISERS | COM | 5,133 | 0.02% | 13F |
| Hartland & Co., LLC | COM | 5,000 | 0.02% | 13F |
| Amalgamated Financial Corp. | COM | 4,895 | 0.02% | 13F |
| Advisor Group, Inc. | COM | 4,247 | 0.01% | 13F |
| PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO | COM | 3,600 | 0.01% | 13F |
| Gladius Capital Management LP | COM | 3,474 | 0.01% | 13F |
