Filing Details
- Accession Number:
- 0001179110-16-032264
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-01 15:24:21
- Reporting Period:
- 2016-11-29
- Filing Date:
- 2016-12-01
- Accepted Time:
- 2016-12-01 15:24:21
- 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 | 4281Technology 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 | 2016-11-29 | 687 | $2.91 | 36,687 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-29 | 7,752 | $2.47 | 44,439 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-29 | 8,439 | $5.00 | 36,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-30 | 4,248 | $2.47 | 40,248 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-30 | 5,250 | $2.18 | 45,498 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-30 | 9,498 | $4.95 | 36,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 Option | Disposition | 2016-11-29 | 687 | $2.91 | 687 | $2.91 |
| Common Stock | Stock Option | Disposition | 2016-11-29 | 7,752 | $2.47 | 7,752 | $2.47 |
| Common Stock | Stock Option | Disposition | 2016-11-30 | 4,248 | $2.47 | 4,248 | $2.47 |
| Common Stock | Stock Option | Disposition | 2016-11-30 | 5,250 | $2.18 | 5,250 | $2.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 105,431 | 2013-11-05 | 2022-11-05 | No | 4 | M | Direct |
| 97,679 | 2015-11-03 | 2024-11-03 | No | 4 | M | Direct |
| 93,431 | 2015-11-03 | 2024-11-03 | No | 4 | M | Direct |
| 88,181 | 2016-11-02 | 2025-11-02 | No | 4 | M | Direct |
Billionaire Hedge Funds
