Filing Details

Accession Number:
0001104659-16-158981
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-23 21:27:45
Reporting Period:
2016-11-22
Filing Date:
2016-11-23
Accepted Time:
2016-11-23 21:27:45
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 2016-11-22 80,000 $1.59 1,153,538 No 4 M Direct
Common Stock Disposition 2016-11-22 3,522 $5.20 1,150,016 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 2016-11-22 80,000 $0.00 80,000 $1.59
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,161,792 2010-07-16 2019-07-16 No 4 M Direct
Footnotes
  1. This total includes 329,533 shares of common stock held by the Young Family Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee, and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
  2. The options are fully vested and exercisable.