Filing Details
- Accession Number:
- 0001179110-16-031373
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-09 15:19:55
- Reporting Period:
- 2016-11-08
- Filing Date:
- 2016-11-09
- Accepted Time:
- 2016-11-09 15:19:55
- 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 | 2016-11-08 | 81,861 | $3.46 | 117,861 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-08 | 81,861 | $5.07 | 36,000 | 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 Options | Disposition | 2016-11-08 | 81,861 | $0.00 | 81,861 | $3.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 106,118 | 2014-10-26 | 2023-11-04 | No | 4 | M | Direct |
Footnotes
- Price in column 4 is a weighted average price. Prices actually sold between $2.04 to $4.79.
- Price in column 4 is a weighted average price. Prices actually sold between $5.05 to $5.23.
- Price in column 2 is a weighted average price. Prices actually sold between $2.04 to $4.79.
- Earliest date shown. Exercisable date of multiple lots between 10/26/2013 and 11/4/2017.
- Latest date shown. Expriation date of multiple lots between 10/26/2019 and 11/4/2023.
Billionaire Hedge Funds
