Filing Details

Accession Number:
0001179110-20-010957
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-10 14:39:28
Reporting Period:
2020-11-09
Accepted Time:
2020-11-10 14:39:28
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
1257647 L Gary Fischer 4281 Technology Dr
Fremont CA 94538
Vp, Cfo & Corporate Secretary 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 2020-11-09 20,000 $2.18 350,495 No 4 M Direct
Common Stock Disposition 2020-11-09 10,000 $6.84 340,495 No 4 S Direct
Common Stock Disposition 2020-11-09 10,000 $6.89 330,495 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S 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 2020-11-09 20,000 $2.18 20,000 $2.18
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
278,108 2016-11-02 2025-11-02 No 4 M Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2020.