AXT, Inc.
US ˙ NasdaqGS ˙ US00246W1036

SecurityAXTI / AXT, Inc.
InstitutionBlackRock, Inc.
Latest Disclosed Ownership727,015 shares
Ownership 1.70%
BlackRock, Inc. ownership in AXTI / AXT, Inc.

2023-07-07 - BlackRock, Inc. has filed an SC 13G/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 727,015 shares of AXT, Inc. (US:AXTI). This represents 1.7 percent ownership of the company. In their previous filing dated 2023-02-01 , BlackRock, Inc. had reported owning 2,689,265 shares, indicating a decrease of -72.97 percent.

Institutional Ownership: 13D/G Filings

This table shows a history of the 13D/G filings made by the investor and/or investor group. Note that the share values in this table are not directly comparable to any numbers shown in the 13F table (if any).

File
Date		Effective
Date		Form Prev
Shares		 Latest
Shares		 ΔShares
(Percent)		 Ownership
(Percent)		 ΔOwnership
(Percent)
2023-07-07 2023-07-07 13G/A 2,689,265 727,015 -72.97 1.70 -72.58
2023-02-01 2023-02-01 13G/A 2,722,343 2,689,265 -1.22 6.20 -3.13
2022-02-01 2022-02-01 13G/A 2,825,523 2,722,343 -3.65 6.40 -5.88
2021-01-29 2021-01-29 13G/A 2,825,523 2,825,523 0.00 6.80 0.00
2021-01-29 2021-01-29 13G/A 2,766,930 2,825,523 2.12 6.80 -1.45
2020-02-05 2020-02-05 13G/A 2,746,560 2,766,930 0.74 6.90 0.00
2019-02-04 2019-02-04 13G/A 2,526,134 2,746,560 8.73 6.90 6.15
2018-02-01 2018-02-01 13G 2,526,134 6.50
2013-07-10 2013-07-10 13G/A 1,006,547 3.08
2013-02-08 2013-02-08 13G/A 2,347,615 7.25
2012-02-13 2012-02-13 13G/A 1,823,292 5.67

Important Note: One of the primary uses of the 13D/G filings is to evaluate the ability of a firm to control a company (ie, the "beneficial ownership"). To that end, firms are required to report not just direct holdings in companies, but indirect holdings that they control. For investment firms, these indirect holdings can include shares in funds they manage, advisory accounts, and in the case of activist campaigns, pledged votes. Therefore, share counts listed in 13D/G filings can differ significantly than share counts listed in 13F filings.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-13 2026-03-31 13F AXT COM 00246W103 1,119,468 282,948 33.82 63,787 366.38 0.0011
2026-02-12 2025-12-31 13F AXT COM 00246W103 836,520 139,759 20.06 13,677 337.24 0.0002
2025-11-12 2025-09-30 13F AXT COM 00246W103 696,761 8,247 1.20 3,128 117.52 0.0001
2025-08-12 2025-06-30 13F AXT COM 00246W103 688,514 5,030 0.74 1,439 49.33 0.0000
2025-05-02 2025-03-31 13F AXT COM 00246W103 683,484 -48,461 -6.62 964 -39.36 0.0000
2025-02-07 2024-12-31 13F AXT COM 00246W103 731,945 43,053 6.25 1,588 -4.74 0.0000
2024-11-13 2024-09-30 13F AXT COM 00246W103 688,892 5,165 0.76 1,667 -27.84 0.0000
2024-08-13 2024-06-30 13F AXT COM 00246W103 683,727 2,740 0.40 2,311 -26.08 0.0001
2024-05-10 2024-03-31 13F AXT COM 00246W103 680,987 -2,013 -0.29 3,126 90.67 0.0001
2024-02-13 2023-12-31 13F AXT COM 00246W103 683,000 -1,977 -0.29 1,639 -0.24 0.0000
2023-11-13 2023-09-30 13F AXT COM 00246W103 684,977 -42,038 -5.78 1,644 -34.28 0.0000
2023-08-11 2023-06-30 13F AXT COM 00246W103 727,015 -1,966,754 -73.01 2,501 -76.68 0.0001
2023-05-12 2023-03-31 13F AXT COM 00246W103 2,693,769 4,504 0.17 10,721 -8.97 0.0003
2023-02-13 2022-12-31 13F AXT COM 00246W103 2,689,265 55,744 2.12 11,779 -33.25 0.0004
2022-11-14 2022-09-30 13F AXT COM 00246W103 2,633,521 -10,389 -0.39 17,644 13.88 0.0006
2022-08-12 2022-06-30 13F AXT COM 00246W103 2,643,910 -11,721 -0.44 15,494 -16.89 0.0005
2022-05-12 2022-03-31 13F AXT COM 00246W103 2,655,631 -66,712 -2.45 18,643 -22.27 0.0005
2022-02-10 2021-12-31 13F AXT COM 00246W103 2,722,343 33,586 1.25 23,985 7.09 0.0006
2021-11-09 2021-09-30 13F AXT COM 00246W103 2,688,757 -104,894 -3.75 22,398 -26.98 0.0006
2021-08-11 2021-06-30 13F AXT COM 00246W103 2,793,651 -139,549 -4.76 30,674 -10.32 0.0009
2021-05-07 2021-03-31 13F AXT COM 00246W103 2,933,200 107,677 3.81 34,202 26.48 0.0010
2021-02-05 2020-12-31 13F AXT COM 00246W103 2,825,523 144,318 5.38 27,041 64.80 0.0009
2020-11-06 2020-09-30 13F AXT COM 00246W103 2,681,205 -39,874 -1.47 16,408 26.68 0.0006
2020-08-14 2020-06-30 13F AXT COM 00246W103 2,721,079 -87,282 -3.11 12,952 43.67 0.0005
2020-05-01 2020-03-31 13F AXT COM 00246W103 2,808,361 41,431 1.50 9,015 -25.10 0.0004
2020-02-13 2019-12-31 13F AXT COM 00246W103 2,766,930 1,998 0.07 12,036 22.28 0.0005
2019-11-08 2019-09-30 13F AXT COM 00246W103 2,764,932 98,332 3.69 9,843 -6.79 0.0004
2019-08-22 2019-06-30 13F/A-1 AXT COM 00246W103 2,666,600 1,039 0.04 10,560 -10.98 0.0005
2019-08-13 2019-06-30 13F AXT COM 00246W103 2,666,600 1,039 10,560
2019-05-09 2019-03-31 13F AXT COM 00246W103 2,665,561 -80,999 -2.95 11,862 -0.73 0.0005
2019-02-08 2018-12-31 13F AXT COM 00246W103 2,746,560 79,457 2.98 11,949 -37.34 0.0006
2018-11-09 2018-09-30 13F AXT COM 00246W103 2,667,103 13,734 0.52 19,069 1.94 0.0008
2018-08-09 2018-06-30 13F AXT COM 00246W103 2,653,369 172,795 6.97 18,706 4.01 0.0009
2018-05-09 2018-03-31 13F AXT COM 00246W103 2,480,574 -45,560 -1.80 17,985 -18.16 0.0009
2018-02-09 2017-12-31 13F AXT COM 00246W103 2,526,134 -26,487 -1.04 21,977 -5.90 0.0010
2017-11-14 2017-09-30 13F AXT COM 00246W103 2,552,621 154,463 6.44 23,356 53.38 0.0012
2017-08-10 2017-06-30 13F AXT COM 00246W103 2,398,158 1,514,619 171.43 15,228 197.13 0.0008
2017-05-12 2017-03-31 13F AXT COM 00246W103 883,539 882,939 147,156.50 5,125 170,733.33 0.0003
2017-02-10 2016-12-31 13F AXT COM 00246W103 600 600 3 0.0000
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.