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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/10/2024 | VANGUARD GROUP INC | 2.30 M | $10.54 M | 0.91% | 5.38% |
| 05/15/2024 | FIRST WILSHIRE SECURITIES MANAGEMENT INC | 2.05 M | $9.40 M | -38.07% | 4.76% |
| 05/10/2024 | DIMENSIONAL FUND ADVISORS LP | 1.88 M | $8.65 M | -6.58% | 4.42% |
| 05/15/2024 | PORTOLAN CAPITAL MANAGEMENT, LLC | 1.60 M | $7.33 M | 215.89% | 3.71% |
| 05/15/2024 | NEEDHAM INVESTMENT MANAGEMENT LLC | 1.57 M | $7.21 M | -26.07% | 3.65% |
| 05/15/2024 | SYSTEMATIC FINANCIAL MANAGEMENT LP | 1.50 M | $6.88 M | 26.65% | 3.48% |
| 05/09/2024 | PACIFIC RIDGE CAPITAL PARTNERS, LLC | 1.16 M | $5.33 M | -2.28% | 2.70% |
| 05/13/2024 | ROYCE & ASSOCIATES LP | 1.02 M | $4.68 M | 0.00% | 2.37% |
| 05/15/2024 | MILLENNIUM MANAGEMENT LLC | 804,699 | $3.69 M | 125.12% | 1.89% |
| 05/15/2024 | TWO SIGMA INVESTMENTS, LP | 788,878 | $3.62 M | 172.30% | 1.85% |
| 05/10/2024 | BLACKROCK INC. | 680,987 | $3.13 M | -0.29% | 1.60% |
| 05/15/2024 | D. E. SHAW & CO., INC. | 669,730 | $3.07 M | 31.40% | 1.57% |
| 05/15/2024 | TWO SIGMA ADVISERS, LP | 653,400 | $3.00 M | 100.55% | 1.53% |
| 05/15/2024 | KENNEDY CAPITAL MANAGEMENT LLC | 605,642 | $2.78 M | 9.19% | 1.41% |
| 05/13/2024 | WHITE PINE CAPITAL LLC | 544,277 | $1.63 M | -11.16% | 1.27% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 536,039 | $2.46 M | 466.65% | 1.26% |
| 05/13/2024 | FULLER & THALER ASSET MANAGEMENT, INC. | 534,425 | $2.45 M | 100.00% | 1.24% |
| 05/15/2024 | MORGAN STANLEY | 449,462 | $2.06 M | 204.51% | 1.05% |
| 05/13/2024 | GEODE CAPITAL MANAGEMENT, LLC | 411,487 | $1.89 M | 1.28% | 0.97% |
| 05/15/2024 | BRIDGEWAY CAPITAL MANAGEMENT, LLC | 385,251 | $1.77 M | -1.66% | 0.90% |
| 05/09/2024 | CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD. | 380,925 | $1.75 M | 174.46% | 0.89% |
| 05/10/2024 | CITIGROUP INC | 319,741 | $1.47 M | 82,520.41% | 0.75% |
| 05/15/2024 | GOLDMAN SACHS GROUP INC | 304,627 | $1.40 M | 100.00% | 0.71% |
| 05/08/2024 | FOUNDRY PARTNERS, LLC | 273,285 | $1.25 M | -0.43% | 0.64% |
| 05/15/2024 | ARROWSTREET CAPITAL, LIMITED PARTNERSHIP | 257,804 | $1.18 M | 100.00% | 0.60% |
| 04/24/2024 | ASSENAGON ASSET MANAGEMENT S.A. | 243,749 | $1.12 M | -5.00% | 0.57% |
| 05/03/2024 | GSA CAPITAL PARTNERS LLP | 243,530 | $1.12 M | -46.90% | 0.57% |
| 05/13/2024 | EAM INVESTORS, LLC | 200,495 | $920,272 | 100.00% | 0.47% |
| 04/12/2024 | KEYSTONE WEALTH SERVICES, LLC | 193,890 | $889,955 | 30.40% | 0.45% |
| 05/14/2024 | QUBE RESEARCH & TECHNOLOGIES LTD | 179,701 | $824,828 | 24,053.36% | 0.42% |
| 05/07/2024 | CLARIVEST ASSET MANAGEMENT LLC | 161,800 | $742,662 | 100.00% | 0.38% |
| 05/07/2024 | EMPOWERED FUNDS, LLC | 158,651 | $728,208 | 8.11% | 0.37% |
| 05/10/2024 | JPMORGAN CHASE & CO | 151,989 | $697,629 | 10,396.48% | 0.36% |
| 05/15/2024 | STATE STREET CORP | 143,615 | $659,193 | 0.00% | 0.34% |
| 05/16/2024 | JANE STREET GROUP, LLC | 137,319 | $630,295 | 404.29% | 0.32% |
| 05/15/2024 | MAN GROUP PLC | 124,743 | $572,570 | 100.00% | 0.29% |
| 05/13/2024 | HRT FINANCIAL LP | 118,125 | $542,000 | 100.00% | 0.27% |
| 05/14/2024 | QUADRATURE CAPITAL LTD | 115,388 | $530,208 | 208.63% | 0.27% |
| 05/14/2024 | OMERS ADMINISTRATION CORP | 99,400 | $456,246 | 100.00% | 0.23% |
| 05/16/2024 | ANCORA ADVISORS, LLC | 91,013 | $417,750 | 0.00% | 0.21% |
| 05/09/2024 | PRINCETON CAPITAL MANAGEMENT LLC | 85,752 | $393,602 | 0.00% | 0.20% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 82,100 | $376,839 | 100.00% | 0.19% |
| 05/14/2024 | NORTHERN TRUST CORP | 78,943 | $362,348 | 12.85% | 0.19% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 75,600 | $347,004 | 100.00% | 0.18% |
| 05/15/2024 | MARSHALL WACE, LLP | 73,983 | $339,582 | 107.23% | 0.17% |
| 05/13/2024 | XTX TOPCO LTD | 73,886 | $339,137 | 152.92% | 0.17% |
| 05/15/2024 | POINT72 ASIA (SINGAPORE) PTE. LTD. | 72,139 | $331,118 | 4,408.69% | 0.17% |
| 05/15/2024 | CITADEL ADVISORS LLC | 68,500 | $314,415 | 365.99% | 0.16% |
| 05/15/2024 | WALLEYE CAPITAL LLC | 64,542 | $296,248 | -48.36% | 0.15% |
| 05/15/2024 | SCHONFELD STRATEGIC ADVISORS LLC | 56,633 | $259,944 | 6.49% | 0.13% |
A. During the previous two years, 155 institutional investors and hedge funds held shares of AXT, Inc.. The most heavily invested institutionals were:
VANGUARD GROUP INC: 2.3 M
FIRST WILSHIRE SECURITIES MANAGEMENT INC: 2.05 M
DIMENSIONAL FUND ADVISORS LP: 1.88 M
Portolan Capital Management, LLC: 1.6 M
NEEDHAM INVESTMENT MANAGEMENT LLC: 1.57 M
SYSTEMATIC FINANCIAL MANAGEMENT LP: 1.5 M
A. 59.15% of AXT, Inc. stock is owned by institutional investors.
A. Institutional investors have bought a total of 29.06 M shares in the last 24 months. This purchase volume represents approximately $99.96 M in transactions.
