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AXT Inc
AXTI

44 hedge funds and large institutions have $29.9M invested in AXT Inc in 2013 Q3 according to their latest regulatory filings, with 1 funds opening new positions, 11 increasing their positions, 22 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed

18% less capital invested

Capital invested by funds: $36.7M → $29.9M (-$6.78M)

28% less funds holding

Funds holding: 61 → 44 (-17)

50% less repeat investments, than reductions

Existing positions increased: 11 | Existing positions reduced: 22

94% less first-time investments, than exits

New positions opened: 1 | Existing positions closed: 18

Holders
44
Holders Change
-17
Holders Change %
-27.87%
% of All Funds
1.43%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
1
Increased
11
Reduced
22
Closed
18
Calls
$1K
Puts
–
Net Calls
+$1K
Net Calls Change
+$1K

Top Buyers

Rank Fund Capital Flow
1
PCM
Perritt Capital Management
Illinois
+$1.71M
2
ARM
Adirondack Research & Management
New York
+$499K
3
Vanguard Group
Vanguard Group
Pennsylvania
+$257K
4
DADC
D.A. Davidson & Co
Montana
+$182K
5
BG
BlackRock Group
United Kingdom
+$120K

Top Sellers

Rank Fund Capital Flow
1
Northern Trust
Northern Trust
Illinois
-$642K
2
Schroder Investment Management Group
Schroder Investment Management Group
United Kingdom
-$616K
3
RA
Royce & Associates
New York
-$388K
4
PP
Paloma Partners
Connecticut
-$380K
5
Renaissance Technologies
Renaissance Technologies
New York
-$335K
Name Holding Trade Value Shares
Change 		Change in
Stake
State Street
26
State Street
Massachusetts
$62K -$43.5K -17,367 -39%
LMF
27
LMR Master Fund
Cayman Islands
$55K -$131K -52,504 -69%
PAM
28
Panagora Asset Management
Massachusetts
$47K – – –
Deutsche Bank
29
Deutsche Bank
Germany
$43K -$274K -109,520 -85%
Wells Fargo
30
Wells Fargo
California
$39K – – –
GC
31
Guggenheim Capital
Illinois
$35K -$4.73K -1,891 -11%
Two Sigma Investments
32
Two Sigma Investments
New York
$31K -$121K -48,300 -78%
TC
33
TFS Capital
Pennsylvania
$28K -$14.2K -5,664 -32%
RFC
34
Russell Frank Company
Washington
$26K -$520 -208 -2%
TSW
35
Thompson Siegel & Walmsley
Virginia
$13K – – –
BA
36
BlackRock Advisors
Delaware
$12K -$1.11K -442 -8%
NFA
37
Nationwide Fund Advisors
Ohio
$11K -$36.3K -14,513 -75%
PNC Financial Services Group
38
PNC Financial Services Group
Pennsylvania
$8K – – –
Citigroup
39
Citigroup
New York
$7K – – –
LTFS
40
Ladenburg Thalmann Financial Services
Florida
$3K +$2.5K +1,000 +222%
Bank of America
41
Bank of America
North Carolina
$1K -$188K -75,228 -99%
BIM
42
BlackRock Investment Management
Delaware
$1K -$70 -28 -5%
Acadian Asset Management
43
Acadian Asset Management
Massachusetts
$1K – – –
Manulife (Manufacturers Life Insurance)
44
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$2 – – –
PP
45
Paloma Partners
Connecticut
– -$380K -140,601 Closed
GMCM
46
Gruber & McBaine Capital Management
California
– -$216K -80,000 Closed
CI
47
Cowen Inc
New York
– -$171K -63,400 Closed
Barclays
48
Barclays
United Kingdom
– -$144K -53,235 Closed
Charles Schwab
49
Charles Schwab
California
– -$145K -53,200 Closed
ACI
50
AMP Capital Investors
Australia
– -$116K -45,100 Closed
1
2
3

AXTI Hedge Fund Activity: Q3 2013 in Review

44 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in AXT Inc (AXTI) for Q3 2013, worth a combined $29.9M — down 18% from $36.7M a quarter earlier.

Sellers outnumbered buyers: 18 funds closed out of AXTI and 1 opened new positions — a net loss of 17 holders — while 22 trimmed existing stakes and 11 added.

The largest buyer was Perritt Capital Management, adding an estimated $1.71M. The largest seller was Northern Trust, cutting an estimated $642K.

  • 44 institutional investors held AXT Inc (AXTI) as of Q3 2013, down from 61 in Q2 2013.
  • Funds reported $29.9M of AXT Inc stock for Q3 2013, down 18% quarter-over-quarter.
  • 1 fund opened new AXT Inc positions in Q3 2013 and 18 closed out, a net change of -17 holders.
  • The largest AXT Inc buyer in Q3 2013 was Perritt Capital Management, an estimated $1.71M added.
  • The largest AXT Inc seller in Q3 2013 was Northern Trust, an estimated $642K sold.

Based on aggregated 13F filings for Q3 2013.