Filing Details
- Accession Number:
- 0001140361-10-047401
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-11-29 20:50:23
- Reporting Period:
- 2010-11-24
- Filing Date:
- 2010-11-29
- Accepted Time:
- 2010-11-29 20:50:23
- Original Submission Date:
- 2010-11-24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1051627 | Axt Inc | AXTI | Semiconductors & Related Devices (3674) | 943031310 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1078582 | S Morris Young | 4281 Technology Drive Fremont CA 94538 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-11-24 | 77,500 | $1.38 | 156,820 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-24 | 13,000 | $8.49 | 143,820 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (right to buy) | Disposition | 2010-11-24 | 77,500 | $0.00 | 77,500 | $1.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 636,000 | 2007-07-21 | 2013-07-21 | No | 4 | M | Direct |
Footnotes
- This amends and restates the Reporting Person's Form 4 that was filed on November 24, 2010.
- 1/4 vesting on first anniversary, 1/48 monthly thereafter.
Billionaire Hedge Funds
