Filing Details
- Accession Number:
- 0001140361-14-033376
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-18 18:53:03
- Reporting Period:
- 2014-08-14
- Filing Date:
- 2014-08-18
- Accepted Time:
- 2014-08-18 18:53:03
- 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 |
|---|---|---|---|---|---|---|---|
| 1415887 | G Robert Ochrym | 4281 Technology Drive Fremont CA 94538 | Vp Business Development | No | 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 | 2014-08-14 | 6,750 | $1.59 | 44,550 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-14 | 6,750 | $2.45 | 37,800 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-08-14 | 8,800 | $2.45 | 29,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2014-08-14 | 6,750 | $0.00 | 6,750 | $1.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-10-31 | 2018-10-31 | No | 4 | M | Direct |
Footnotes
- 1/4 vested on first year anniversary of October 31, 2008 and 1/48 vested monthly thereafter. The option became fully vested on October 31, 2012.
- Represents grant of restricted stock award, which vests in four equal annual installments on each anniversary of the date of grant of August 2, 2010.
- Includes 29,000 shares subject to restricted stock awards, a portion of which is subject to vesting.
Billionaire Hedge Funds
