Filing Details
- Accession Number:
- 0001179110-17-007987
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-25 13:27:11
- Reporting Period:
- 2017-05-23
- Filing Date:
- 2017-05-25
- Accepted Time:
- 2017-05-25 13:27:11
- 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 | 2017-05-23 | 3,000 | $2.36 | 39,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-05-23 | 3,000 | $2.47 | 42,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-05-23 | 1,500 | $2.18 | 43,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-23 | 7,500 | $6.93 | 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 | 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 | Disposition | 2017-05-23 | 3,000 | $2.36 | 3,000 | $2.36 |
| Common Stock | Stock Option | Disposition | 2017-05-23 | 3,000 | $2.47 | 3,000 | $2.47 |
| Common Stock | Common Stock | Disposition | 2017-05-23 | 1,500 | $2.18 | 1,500 | $2.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 85,181 | 2014-11-04 | 2023-11-04 | No | 4 | M | Direct |
| 82,181 | 2015-11-03 | 2024-11-03 | No | 4 | M | Direct |
| 80,681 | 2016-11-02 | 2025-11-02 | No | 4 | M | Direct |
Footnotes
- Earliest date shown. Exercisable date of multiple lots between 11/4/2014 to 11/4/2017.
- Earliest date shown. Exercisable date of multiple lots between 11/3/2015 to 11/4/2018.
- Earliest date shown. Exercisable date of multiple lots between 11/2/2016 to 11/2/2019.
Billionaire Hedge Funds
