Filing Details
- Accession Number:
- 0001179110-16-029100
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-29 19:31:15
- Reporting Period:
- 2016-08-29
- Filing Date:
- 2016-08-29
- Accepted Time:
- 2016-08-29 19:31:15
- 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 | 2016-08-29 | 26,577 | $2.04 | 55,577 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-08-29 | 26,577 | $4.39 | 29,000 | 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 option | Disposition | 2016-08-29 | 26,577 | $0.00 | 26,577 | $2.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 166,979 | 2013-10-26 | 2019-10-26 | No | 4 | M | Direct |
Footnotes
- Price in Column 4 is a weighted average price. Prices actually sold between $4.38 to $4.39
Billionaire Hedge Funds
