Filing Details
- Accession Number:
- 0001140361-12-048920
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-28 14:56:27
- Reporting Period:
- 2012-11-28
- Filing Date:
- 2012-11-28
- Accepted Time:
- 2012-11-28 14:56:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1244065 | J Leonard Leblanc | 4281 Technology Drive Fremont CA 94538 | Yes | No | 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 | 2012-11-28 | 4,000 | $1.38 | 96,491 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-11-28 | 4,000 | $2.81 | 92,491 | 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 of buy) | Disposition | 2012-11-28 | 4,000 | $1.38 | 4,000 | $1.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-07-21 | 2013-07-21 | No | 4 | M | Direct |
Billionaire Hedge Funds
