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Share Name | Share Symbol | Market | Type |
---|---|---|---|
AXT Inc | NASDAQ:AXTI | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.70 | 24.22% | 3.59 | 3.51 | 3.59 | 3.06 | 2.91 | 2.91 | 616,848 | 00:59:17 |
1
|
NAME OF REPORTING PERSONS
Perritt Capital Management, Inc.
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
Not Applicable
|
(a)
☐
(b) ☐ |
|||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Illinois
|
||||
NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
78,450
|
|||
6
|
SHARED VOTING POWER
1,731,731
(1)
|
||||
7
|
SOLE DISPOSITIVE POWER
78,450
|
||||
8
|
SHARED DISPOSITIVE POWER
1,731,731
(1)
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,810,181
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS
)
Not Applicable
|
☐
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.6%
(2)
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA
|
(1) | Represents shares beneficially owned by Perritt Funds, Inc. (see Item 2(a)). |
(2) | The percent ownership calculated is based upon an aggregate of 32,559,384 shares outstanding as of November 3, 2016. |
1
|
NAME OF REPORTING PERSONS
Perritt Funds, Inc.
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
Not Applicable
|
(a)
☐
(b) ☐ |
|||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Maryland
|
||||
NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
1,731,731
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
1,731,731
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,731,731
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS
)
Not Applicable
|
☐
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.3%
(1)
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IV
|
(1) | The percent ownership calculated is based upon an aggregate of 32,559,384 shares outstanding as of November 3, 2016. |
Item 1(a). | Name of Issuer : |
Item 1(b). | Address of Issuer’s Principal Executive Offices : |
Item 2(a). | Name of Person Filing : |
Item 2(b). | Address of Principal Business Office or, if none, Residence : |
Item 2(c). | Citizenship : |
Item 2(d). | Title of Class of Securities : |
Item 2(e). | CUSIP Number : |
Item 3. | If this statement is filed pursuant to sections 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a : |
T | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
T | An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). |
Item 4. | Ownership : |
(a) | Amount Beneficially Owned: 1,810,181 |
(b) | Percent of Class: 5.6% |
(c) | Number of shares as to which such person has: |
(i) | sole power to vote or to direct the vote: 78,450 |
(ii) | shared power to vote or to direct the vote: 1,731,731 |
(iii) | sole power to dispose or to direct the disposition of: 78,450 |
(iv) | shared power to dispose or to direct the disposition of: 1,731,731 |
(a) | Amount Beneficially Owned: 1,731,731 |
(b) | Percent of Class: 5.3% |
(c) | Number of shares as to which such person has: |
(i) | sole power to vote or to direct the vote: 0 |
(ii) | shared power to vote or to direct the vote: 1,731,731 |
(iii) | sole power to dispose or to direct the disposition of: 0 |
(iv) | shared power to dispose or to direct the disposition of: 1,731,731 |
Item 5. | Ownership of Five Percent or Less of a Class : |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person : |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person : |
Item 8. | Identification and Classification of Members of the Group : |
Item 9. | Notice of Dissolution of Group : |
Item 10. | Certification : |
1. | Agreement to file Schedule 13G jointly (previously filed as Exhibit 1 to the reporting parties’ Schedule 13G filed February 13, 2014). |
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