Stock Transactions — AXT INC

Total Bought
2,381,449
34 transactions
Total Sold
4,608,961
35 transactions
Net
-2,227,512
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
Pacific Ridge Capital Partners, LLC1,171,3021,937,424+766,1220.670.96+0.29buy
UBS Group AG60,872454,224+393,3520.000.00+0.00buy
Point72 Asset Management, L.P.0289,411+289,4110.000.00+0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP0230,051+230,0510.000.00+0.00buy
KENNEDY CAPITAL MANAGEMENT LLC809,339915,460+106,1210.040.04+0.00buy
D. E. Shaw & Co., Inc.510,170606,365+96,1950.000.00-0.00buy
SYSTEMATIC FINANCIAL MANAGEMENT LP1,477,1691,551,380+74,2110.090.09-0.01buy
GSA CAPITAL PARTNERS LLP301,812372,406+70,5940.060.06+0.00buy
Walleye Capital LLC066,751+66,7510.000.00+0.00buy
BlackRock, Inc.688,892731,945+43,0530.000.00-0.00buy
Man Group plc030,895+30,8950.000.00+0.00buy
GOLDMAN SACHS GROUP INC22,97849,307+26,3290.000.00+0.00buy
Virtu Financial LLC024,934+24,9340.000.00+0.00buy
Graham Capital Management, L.P.25,41349,947+24,5340.000.00+0.00buy
Atlas Brown,Inc.019,575+19,5750.000.01+0.01buy
JACOBS LEVY EQUITY MANAGEMENT, INC286,094302,936+16,8420.000.00-0.00buy
WEDBUSH SECURITIES INC20,50035,237+14,7370.000.00+0.00buy
Bleakley Financial Group, LLC013,500+13,5000.000.00+0.00buy
CANANDAIGUA NATIONAL BANK & TRUST CO012,802+12,8020.000.00+0.00buy
Formidable Asset Management, LLC30,92543,500+12,5750.010.02+0.00buy
STATE STREET CORP143,615152,115+8,5000.000.00-0.00buy
BRIDGEWAY CAPITAL MANAGEMENT, LLC295,799302,964+7,1650.020.01-0.00buy
Empowered Funds, LLC138,499145,664+7,1650.010.00-0.00buy
ACADIAN ASSET MANAGEMENT LLC279,308285,779+6,4710.000.00-0.00buy
WHITE PINE CAPITAL LLC663,253668,499+5,2460.550.49-0.06buy
Clearstead Advisors, LLC5,00010,000+5,0000.000.00+0.00buy
SIMPLEX TRADING, LLC9,24113,273+4,0320.000.00+0.00buy
GEODE CAPITAL MANAGEMENT, LLC464,022466,353+2,3310.000.00-0.00buy
ASSETMARK, INC02,000+2,0000.000.00+0.00buy
FMR LLC236696+4600.000.00+0.00buy
BARCLAYS PLC34,77835,047+2690.000.00+0.00buy
Tower Research Capital LLC (TRC)4,6464,746+1000.000.00-0.00buy
BNP PARIBAS FINANCIAL MARKETS1,2441,330+860.000.00-0.00buy
COMERICA BANK107147+400.000.00+0.00buy
Allworth Financial LP30030000.000.00-0.00hold
Point72 Asia (Singapore) Pte. Ltd.2200.000.00+0.00hold
Founders Capital Management7,0007,00000.010.01-0.00hold
Game Plan Financial Advisors, LLC27,85027,85000.030.03-0.00hold
Keystone Wealth Services, LLC193,400193,40000.130.11-0.02hold
Newbridge Financial Services Group, Inc.1,0001,00000.000.00-0.00hold
Morling Financial Advisors, LLC10,00010,00000.010.01-0.00hold
Arcadia Wealth Management, LLC13,36613,36600.020.01-0.00hold
Park Edge Advisors, LLC49,95049,95000.030.03-0.00hold
Federation des caisses Desjardins du Quebec2,0502,05000.000.00-0.00hold
Aster Capital Management (DIFC) Ltd27,85927,85900.010.02+0.01hold
HUNTINGTON NATIONAL BANK1100.000.00-0.00hold
CALDWELL SUTTER CAPITAL, INC.10010000.000.00-0.00hold
PNC FINANCIAL SERVICES GROUP, INC.12,50012,50000.000.00-0.00hold
CONCOURSE FINANCIAL GROUP SECURITIES, INC.0000.000.000.00hold
JAMES INVESTMENT RESEARCH, INC.16,00016,00000.000.00-0.00hold
CHARLES SCHWAB INVESTMENT MANAGEMENT INC15,88715,88700.000.00-0.00hold
GROUP ONE TRADING LLC3,7733,77300.000.00-0.00hold
Qube Research & Technologies Ltd147,380147,180-2000.000.00-0.00sell
NewEdge Advisors, LLC19,07318,613-4600.000.00-0.00sell
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO8000-8000.000.00-0.00sell
CITIGROUP INC3,157383-2,7740.000.00-0.00sell
Engineers Gate Manager LP23,81215,633-8,1790.000.00-0.00sell
Byrne Asset Management LLC9,0000-9,0000.010.00-0.01sell
Orion Porfolio Solutions, LLC20,18210,336-9,8460.000.00-0.00sell
NORTHERN TRUST CORP86,35874,358-12,0000.000.00-0.00sell
JPMORGAN CHASE & CO157,976145,593-12,3830.000.00-0.00sell
COMMONWEALTH EQUITY SERVICES, LLC14,1000-14,1000.000.00-0.00sell
Invesco Ltd.16,6820-16,6820.000.00-0.00sell
Quadrature Capital Ltd57,38134,887-22,4940.000.00-0.00sell
VANGUARD GROUP INC2,296,2042,270,898-25,3060.000.00-0.00sell
Brandywine Global Investment Management, LLC29,6100-29,6100.000.00-0.00sell
Jump Financial, LLC31,1080-31,1080.000.00-0.00sell
XTX Topco Ltd35,8170-35,8170.010.00-0.01sell
PRINCETON CAPITAL MANAGEMENT LLC53,95917,444-36,5150.040.01-0.03sell
BANK OF MONTREAL /CAN/36,8750-36,8750.000.00-0.00sell
WELLS FARGO & COMPANY/MN40,2200-40,2200.000.00-0.00sell
Assenagon Asset Management S.A.63,79420,412-43,3820.000.00-0.00sell
Creative Planning52,4480-52,4480.000.00-0.00sell
Cubist Systematic Strategies, LLC56,6510-56,6510.000.00-0.00sell
Squarepoint Ops LLC74,20917,523-56,6860.000.00-0.00sell
MARSHALL WACE, LLP118,86045,453-73,4070.000.00-0.00sell
Connor, Clark & Lunn Investment Management Ltd.606,417532,931-73,4860.010.01-0.00sell
CITADEL ADVISORS LLC94,5010-94,5010.000.00-0.00sell
TWO SIGMA INVESTMENTS, LP686,111564,425-121,6860.000.00-0.00sell
NEEDHAM INVESTMENT MANAGEMENT LLC1,541,0501,418,100-122,9500.290.24-0.05sell
RENAISSANCE TECHNOLOGIES LLC453,300321,996-131,3040.000.00-0.00sell
TWO SIGMA ADVISERS, LP849,300674,400-174,9000.000.00-0.00sell
MILLENNIUM MANAGEMENT LLC292,6520-292,6520.000.00-0.00sell
MORGAN STANLEY455,7700-455,7700.000.00-0.00sell
ROYCE & ASSOCIATES LP733,70926,970-706,7390.020.00-0.02sell
OBERWEIS ASSET MANAGEMENT INC/865,7210-865,7210.110.00-0.11sell
DIMENSIONAL FUND ADVISORS LP1,001,28458,975-942,3090.000.00-0.00sell
Page 1 of 1