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Filing Details

Accession Number:
0001140361-11-039201
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-08-02 19:12:19
Reporting Period:
2011-08-02
Filing Date:
2011-08-02
Filing Date Changed:
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
X

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