DaveManuel.com · Institutional Ownership · Who Owns It
AXT INC (AXTI)
Institutional ownership reported to the SEC as of Q2 2026, across 32 quarters.
265
Reporting holders
$4.7B
Reported value
71.6%
Of shares outstanding
13.6%
Calls
14.3%
Puts
+66
Holder change
Institutions report 46,962,021 shares against 65,573,212 outstanding. Shares only - option lines are excluded, which is why this can be compared with the company at all. The count comes from the cover page of the company's own most recent report, so it is dated when that was filed rather than at quarter end.
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| Marex Group Ltd | $401.0M incl. $144.2M options PUT | 3,563,896 | 1.70% | 2q | +44398.6%+$400.1M |
| JANE STREET GROUP, LLC | $397.6M incl. $143.4M options CALL+PUT | 3,527,115 | 0.03% | 7q | +45.4%+$124.1M |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $371.1M incl. $343.9M options CALL+PUT | 377,795 | 0.03% | 24q | +25.3%+$74.8M |
| BlackRock, Inc. | $365.6M | 5,072,242 | 0.01% | 8q | +353.1%+$284.9M |
| CITADEL ADVISORS LLC | $276.4M incl. $169.6M options CALL+PUT | 1,481,332 | 0.03% | 6q | +160.0%+$170.1M |
| VANGUARD CAPITAL MANAGEMENT LLC | $196.3M | 2,722,914 | 0.00% | 2q | +19.5%+$32.0M |
| D. E. Shaw & Co., Inc. | $194.2M incl. $32.0M options CALL+PUT | 2,250,085 | 0.09% | 3q | +189.9%+$127.2M |
| IMC-Chicago, LLC | $176.1M CALL+PUT | options only | 0.04% | 3q | OPTIONS |
| Assenagon Asset Management S.A. | $147.5M | 2,045,976 | 0.09% | 13q | +35.9%+$39.0M |
| VANGUARD PORTFOLIO MANAGEMENT LLC | $126.7M | 1,758,421 | 0.01% | new | NEW |
| GEODE CAPITAL MANAGEMENT, LLC | $125.2M | 1,736,210 | 0.01% | 31q | +195.4%+$82.8M |
| STATE STREET CORP | $106.9M | 1,482,498 | 0.00% | 31q | +338.7%+$82.5M |
| PRICE T ROWE ASSOCIATES INC /MD/ | $95.2M | 1,320,508 | 0.01% | 2q | +45.2%+$29.6M |
| Clear Street Group Inc. | $94.3M | 1,308,921 | 0.24% | new | NEW |
| SG Americas Securities, LLC | $91.1M incl. $18.8M options PUT | 1,002,151 | 0.05% | 2q | +52700.4%+$90.9M |
| Invesco Ltd. | $82.4M | 1,143,577 | 0.01% | 2q | +15811.7%+$81.9M |
| CITIGROUP INC | $76.0M | 1,055,074 | 0.03% | 4q | +10.7%+$7.4M |
| Point72 Asset Management, L.P. | $73.7M CALL+PUT | options only | 0.08% | 3q | OPTIONS |
| GROUP ONE TRADING LLC | $63.3M incl. $51.1M options CALL+PUT | 168,015 | 0.09% | 4q | +355.3%+$49.4M |
| MILLENNIUM MANAGEMENT LLC | $61.6M | 854,322 | 0.02% | 4q | +15.6%+$8.3M |
| GOLDMAN SACHS GROUP INC | $59.1M | 819,556 | 0.01% | 10q | -12.2%-$8.2M |
| Walleye Trading LLC | $51.0M incl. $41.3M options CALL+PUT | 134,256 | 0.06% | 2q | +552.1%+$43.2M |
| UBS Group AG | $47.1M | 654,117 | 0.01% | 31q | -40.4%-$31.9M |
| BANK OF AMERICA CORP /DE/ | $46.1M | 639,037 | 0.00% | 31q | -17.7%-$9.9M |
| HEALTHCARE OF ONTARIO PENSION PLAN TRUST FUND | $44.4M | 615,377 | 0.06% | new | NEW |
| MORGAN STANLEY | $44.1M | 611,974 | 0.00% | 35q | -57.6%-$59.9M |
| NORTHERN TRUST CORP | $39.5M | 548,403 | 0.00% | 31q | +335.7%+$30.5M |
| SIMPLEX TRADING, LLC | $39.3M incl. $39.0M options CALL+PUT | 4,078 | 0.02% | 10q | -97.7%-$1.6B |
| Fund Resources Investment Holding Group Co Ltd | $38.7M | 536,706 | 4.73% | new | NEW |
| VANGUARD FIDUCIARY TRUST CO | $31.1M | 431,889 | 0.01% | 2q | +42.1%+$9.2M |
| TWO SIGMA INVESTMENTS, LP | $28.7M | 397,732 | 0.02% | 31q | +511.0%+$24.0M |
| T. Rowe Price Investment Management, Inc. | $28.3M | 392,787 | 0.02% | new | NEW |
| WELLINGTON MANAGEMENT GROUP LLP | $25.9M | 359,481 | 0.00% | new | NEW |
| BNP PARIBAS FINANCIAL MARKETS | $25.4M | 352,724 | 0.01% | 31q | -6.4%-$1.7M |
| Capital World Investors | $24.7M | 342,768 | 0.00% | new | NEW |
| VOLORIDGE INVESTMENT MANAGEMENT, LLC | $24.1M | 333,897 | 0.10% | new | NEW |
| Aristides Capital LLC | $23.8M incl. $17.3M options CALL+PUT | 90,107 | 4.64% | 2q | HELD |
| Funde Sino Life Insurance Co Ltd | $23.4M | 324,751 | 7.63% | new | FIRST |
| NOMURA ASSET MANAGEMENT INTERNATIONAL INC. | $22.8M | 315,754 | 0.03% | new | NEW |
| Squarepoint Ops LLC | $22.6M | 312,999 | 0.02% | 3q | +1347.0%+$21.0M |
| Lido Advisors, LLC | $15.1M incl. $7.6M options CALL+PUT | 104,994 | 0.04% | new | NEW |
| Allianz Asset Management GmbH | $15.0M incl. $13.3M options CALL+PUT | 23,378 | 0.01% | new | NEW |
| CANADA PENSION PLAN INVESTMENT BOARD | $14.6M | 202,800 | 0.01% | 2q | +2343.4%+$14.0M |
| Alyeska Investment Group, L.P. | $14.4M | 200,000 | 0.04% | 3q | HELD |
| Bank of New York Mellon Corp | $14.1M | 195,558 | 0.00% | 2q | +1581.4%+$13.3M |
| DIMENSIONAL FUND ADVISORS LP | $13.5M | 187,684 | 0.00% | 4q | HELD |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC | $13.5M | 186,730 | 0.00% | 4q | +588.1%+$11.5M |
| Nuveen, LLC | $11.4M | 158,416 | 0.00% | new | NEW |
| Jain Global LLC | $10.9M incl. $3.2M options PUT | 106,658 | 0.04% | 2q | +155.1%+$6.6M |
| NEUBERGER BERMAN GROUP LLC | $10.5M | 145,819 | 0.01% | new | NEW |
| DEUTSCHE BANK AG\ | $10.3M | 142,740 | 0.00% | 2q | +4885.7%+$10.1M |
| WELLS FARGO & COMPANY/MN | $10.1M incl. $4.7M options CALL | 75,164 | 0.00% | 3q | +483.5%+$8.4M |
| Tairen Capital Ltd | $10.1M | 140,000 | 0.89% | new | NEW |
| NOMURA HOLDINGS INC | $9.3M | 128,927 | 0.01% | 3q | +1741.8%+$8.8M |
| Balyasny Asset Management L.P. | $9.0M incl. $749.6K options PUT | 114,386 | 0.01% | new | NEW |
| TUDOR INVESTMENT CORP ET AL | $9.0M incl. $6.2M options CALL+PUT | 37,990 | 0.01% | 3q | HELD |
| PEAK6 LLC | $8.7M CALL+PUT | options only | 0.02% | 2q | OPTIONS |
| Arosa Capital Management LP | $8.5M incl. $7.2M options CALL | 17,500 | 1.51% | 3q | -79.4%-$32.7M |
| Swiss National Bank | $8.3M | 115,800 | 0.00% | 2q | +11.5%+$857.8K |
| KADENSA CAPITAL Ltd | $8.3M | 115,053 | 1.77% | new | NEW |
| Gotham Asset Management, LLC | $8.0M | 111,578 | 0.02% | 3q | -7.3%-$636.5K |
| LPL Financial LLC | $7.2M | 100,576 | 0.00% | 2q | +11.6%+$751.4K |
| MARSHALL WACE, LLP | $7.2M | 100,330 | 0.01% | 3q | -16.7%-$1.4M |
| Artisan Partners Limited Partnership | $6.9M | 95,607 | 0.01% | new | NEW |
| Caption Management, LLC | $6.5M CALL | options only | 0.03% | 3q | OPTIONS |
| Trexquant Investment LP | $6.3M | 87,973 | 0.04% | new | NEW |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | $6.2M | 85,925 | 0.00% | 2q | +11.7%+$651.0K |
| RENAISSANCE TECHNOLOGIES LLC | $6.1M | 84,300 | 0.01% | new | NEW |
| FMR LLC | $5.9M | 81,394 | 0.00% | 9q | +7128.6%+$5.8M |
| Elequin Capital, LP | $5.8M | 81,004 | 0.17% | new | NEW |
| FORA Capital, LLC | $5.7M | 78,441 | 0.39% | new | NEW |
| RHUMBLINE ADVISERS | $5.6M | 77,847 | 0.00% | new | NEW |
| Maytree Asset Management Ltd | $5.4M | 74,377 | 3.48% | 3q | -21.6%-$1.5M |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | $4.8M | 66,887 | 0.00% | 2q | +3.9%+$178.8K |
| AXIOM INVESTORS LLC /DE | $4.8M | 66,232 | 0.04% | new | NEW |
| JPMORGAN CHASE & CO | $4.6M | 62,293 | 0.00% | 31q | -54.5%-$5.6M |
| ROYAL BANK OF CANADA | $4.2M | 57,740 | 0.00% | 5q | +279.1%+$3.1M |
| ALLIANCEBERNSTEIN L.P. | $4.1M | 72,576 | 0.00% | new | NEW |
| DNB Asset Management AS | $3.8M | 53,196 | 0.01% | new | NEW |
| Jupiter Topco LLC | $3.8M | 52,795 | 0.00% | new | FIRST |
| POLEN CAPITAL MANAGEMENT LLC | $3.8M | 52,707 | 0.03% | 3q | +6.8%+$240.7K |
| NEW YORK STATE COMMON RETIREMENT FUND | $3.7M | 51,043 | 0.00% | new | NEW |
| SCALAR GAUGE MANAGEMENT, LLC | $3.6M | 50,000 | 1.98% | new | NEW |
| E Fund Management Co., Ltd. | $3.3M | 46,171 | 0.07% | 2q | -96.3%-$87.7M |
| Neo Ivy Capital Management | $3.3M | 45,499 | 0.76% | 2q | +375.7%+$2.6M |
| WHITE PINE CAPITAL LLC | $3.3M | 45,288 | 0.77% | 30q | -78.6%-$12.0M |
| Informed Momentum Co LLC | $3.1M | 42,817 | 0.27% | 3q | -72.4%-$8.1M |
| VANGUARD ASSET MANAGEMENT, Ltd | $2.9M | 40,500 | 0.00% | 2q | +17.8%+$441.8K |
| Jefferies Financial Group Inc. | $2.8M | 39,355 | 0.02% | 4q | -25.7%-$980.3K |
| Legal & General Group Plc | $2.8M | 38,389 | 0.00% | 2q | +6.6%+$170.8K |
| RAYMOND JAMES FINANCIAL INC | $2.7M | 36,836 | 0.00% | 3q | -29.8%-$1.1M |
| Capstone Capital Management Ltd | $2.6M | 36,591 | 1.18% | new | NEW |
| Jump Financial, LLC | $2.6M | 36,516 | 0.02% | 3q | +180.5%+$1.7M |
| MetLife Investment Management, LLC | $2.6M | 36,358 | 0.01% | new | NEW |
| Creative Planning | $2.6M | 35,980 | 0.00% | 5q | -11.0%-$320.3K |
| FLOW TRADERS U.S. LLC | $2.6M | 35,676 | 0.11% | new | NEW |
| ALGERT GLOBAL LLC | $2.4M | 33,770 | 0.03% | 2q | +4.8%+$111.0K |
| Y-Intercept (Hong Kong) Ltd | $2.4M | 33,005 | 0.05% | new | NEW |
| Universal- Beteiligungs- und Servicegesellschaft mbH | $2.4M | 32,703 | 0.00% | new | NEW |
| Man Group plc | $2.3M | 31,552 | 0.00% | new | NEW |
Five percent filings
Anyone crossing 5% of a company must say so within days - far sooner than the next quarterly holdings report. A 13D declares an intent to influence the company; a 13G is the passive version. See all activist filings →
| Filed | Form | Filer | % of class |
|---|---|---|---|
| 2026-10-05 | 13G/A | BlackRock, Inc. | 14.3% |
What the company announced
Form 8-K filings from the last 120 days, showing only the items worth a reader's attention. Earnings releases, exhibit attachments and general disclosures are filed constantly and are left out. Filed is when the SEC received it; event is the date the company says the thing happened.
| Filed | Event date | What | Source |
|---|---|---|---|
| 2026-10-28 | 2026-10-27 | Material agreement entered | filing |
What the insiders did
Open market purchases and sales reported on Form 4 in the last 180 days. Grants, option exercises and shares surrendered to cover tax are left out: they are compensation rather than a decision to buy or sell. Where a broker filled one order in tranches the lines are summed, because it was one decision.
Officers and directors
| Date | Insider | Role | Side | Shares | Value |
|---|---|---|---|---|---|
| 2026-06-02 | YOUNG MORRIS S | CEO | Sold | 123,601 | $14.0M |
| 2026-06-01 | YOUNG MORRIS S | CEO | Sold | 73,897 | $8.3M |
| 2026-06-12 | CHEN JESSE | Director | Sold | 13,000 | $1.2M |
| 2026-06-15 | CHANG DAVID C | Director | Sold | 8,333 | $926.4K |
| 2026-06-11 | CHEN JESSE | Director | Sold | 9,000 | $796.9K |
| 2026-06-10 | CHEN JESSE | Director | Sold | 9,000 | $780.6K |
| 2026-06-15 | CHEN JESSE | Director | Sold | 6,172 | $711.3K |
| 2026-06-04 | CHEN JESSE | Director | Sold | 6,133 | $664.1K |
| 2026-06-08 | CHEN JESSE | Director | Sold | 6,000 | $564.0K |
| 2026-06-03 | CHEN JESSE | Director | Sold | 4,000 | $445.4K |
| 2026-08-17 | LEBLANC LEONARD J | Director | Sold | 4,000 | $384.3K |
| 2026-06-01 | CHEN JESSE | Director | Sold | 3,200 | $357.0K |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 81 | $96.5M | 1,240,656 | 47 | 19 | 8 | 0.5% |
| Q2 2026 | 265 | $4.7B | 46,962,021 | 129 | 71 | 51 | 28.0% |
| Q1 2026 | 199 | $2.4B | 32,821,796 | 107 | 37 | 44 | 22.3% |
| Q4 2025 | 114 | $511.7M | 29,443,089 | 59 | 30 | 14 | 6.0% |
| Q3 2025 | 67 | $53.3M | 11,859,537 | 14 | 16 | 17 | 0.4% |
| Q2 2025 | 64 | $23.9M | 11,394,051 | 8 | 8 | 23 | 0.4% |
| Q1 2025 | 70 | $16.2M | 11,463,157 | 11 | 16 | 22 | 0.2% |
| Q4 2024 | 82 | $37.4M | 17,200,604 | 10 | 28 | 22 | 0.2% |
| Q3 2024 | 84 | $47.8M | 19,551,258 | 8 | 22 | 26 | 0.5% |
| Q2 2024 | 93 | $75.4M | 22,093,235 | 15 | 24 | 38 | 1.0% |
| Q1 2024 | 98 | $123.8M | 26,663,253 | 27 | 33 | 20 | 1.9% |
| Q4 2023 | 89 | $53.2M | 22,144,476 | 11 | 25 | 32 | 0.1% |
| Q3 2023 | 88 | $53.2M | 22,085,439 | 7 | 29 | 34 | 0.3% |
| Q2 2023 | 98 | $81.3M | 23,565,139 | 24 | 27 | 30 | 0.3% |
| Q1 2023 | 102 | $101.1M | 25,295,963 | 13 | 31 | 33 | 0.4% |
| Q4 2022 | 107 | $107.0M | 24,363,558 | 13 | 33 | 32 | 0.3% |
| Q3 2022 | 107 | $175.9M | 26,101,256 | 21 | 29 | 27 | 0.6% |
| Q2 2022 | 97 | $150.3M | 25,541,572 | 14 | 28 | 24 | 0.5% |
| Q1 2022 | 90 | $175.1M | 24,726,409 | 11 | 18 | 36 | 0.9% |
| Q4 2021 | 92 | $293.5M | 33,030,606 | 7 | 28 | 35 | 0.9% |
| Q3 2021 | 100 | $278.3M | 33,134,889 | 14 | 40 | 26 | 0.9% |
| Q2 2021 | 101 | $328.3M | 29,750,831 | 13 | 27 | 39 | 0.5% |
| Q1 2021 | 110 | $422.8M | 36,087,569 | 28 | 27 | 38 | 0.5% |
| Q4 2020 | 93 | $338.1M | 35,172,935 | 18 | 30 | 32 | 0.4% |
| Q3 2020 | 93 | $277.3M | 45,135,817 | 17 | 19 | 36 | 0.4% |
| Q2 2020 | 93 | $155.9M | 32,701,951 | 29 | 27 | 26 | 0.1% |
| Q1 2020 | 76 | $94.5M | 29,264,988 | 7 | 24 | 27 | 0.2% |
| Q4 2019 | 84 | $125.4M | 28,801,895 | 12 | 25 | 28 | 0.1% |
| Q3 2019 | 87 | $94.8M | 26,605,947 | 13 | 24 | 27 | 0.1% |
| Q2 2019 | 88 | $112.1M | 28,013,530 | 15 | 32 | 21 | 1.0% |
| Q1 2019 | 83 | $129.2M | 28,934,043 | 9 | 23 | 28 | 0.3% |
| Q4 2018 | 86 | $121.8M | 27,762,105 | 3 | 1 | 2 | 0.9% |