Filing Details
- Accession Number:
- 0001140361-11-039201
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-02 20:12:19
- Reporting Period:
- 2011-08-02
- Filing Date:
- 2011-08-02
- Accepted Time:
- 2011-08-02 20:12:19
- 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 | 2011-08-02 | 9,375 | $2.04 | 20,375 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-08-02 | 4,500 | $1.59 | 24,875 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-08-02 | 1,294 | $6.31 | 26,169 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-08-02 | 208 | $4.81 | 26,377 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-08-02 | 17,577 | $9.00 | 8,800 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 | 2011-08-02 | 9,375 | $2.04 | 9,375 | $2.04 |
| Common Stock | Stock Options (right to buy) | Disposition | 2011-08-02 | 4,500 | $1.59 | 4,500 | $1.59 |
| Common Stock | Stock Options (right to buy) | Disposition | 2011-08-02 | 1,294 | $6.31 | 1,294 | $6.31 |
| Common Stock | Stock Options (right to buy) | Disposition | 2011-08-02 | 208 | $4.81 | 208 | $4.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 74,308 | 2011-07-26 | 2019-10-26 | No | 4 | M | Direct |
| 69,808 | 2011-07-31 | 2018-10-31 | No | 4 | M | Direct |
| 68,514 | 2011-07-22 | 2017-10-22 | No | 4 | M | Direct |
| 68,306 | 2010-10-27 | 2016-10-27 | No | 4 | M | Direct |
Billionaire Hedge Funds
