Filing Details
- Accession Number:
- 0001140361-11-030635
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-31 17:53:56
- Reporting Period:
- 2011-05-27
- Filing Date:
- 2011-05-31
- Accepted Time:
- 2011-05-31 17:53:56
- 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 | 2011-05-27 | 87,104 | $1.59 | 230,924 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-05-27 | 17,755 | $7.99 | 213,169 | 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 | 2011-05-27 | 87,104 | $0.00 | 87,104 | $1.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 548,896 | 2011-07-16 | 2019-07-16 | No | 4 | M | Direct |
Footnotes
- 1/4 vesting on first anniversary, 1/48 monthly thereafter.
Billionaire Hedge Funds
