Filing Details
- Accession Number:
- 0001179110-16-032283
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-01 18:02:44
- Reporting Period:
- 2016-11-23
- Filing Date:
- 2016-12-01
- Accepted Time:
- 2016-12-01 18:02:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1078582 | S Morris Young | 4281 Technology Dr Fremont CA 94538 | Chief Executive Officer | Yes | 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 | Disposition | 2016-11-23 | 12,000 | $0.00 | 1,091,714 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2016-11-29 | 700 | $5.10 | 1,091,014 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-30 | 10,710 | $5.05 | 1,080,304 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-30 | 40,000 | $1.59 | 1,120,304 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2016-11-30 | 40,000 | $0.00 | 40,000 | $1.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,121,792 | 2010-07-16 | 2019-07-16 | No | 4 | M | Direct |
Footnotes
- This total includes 311,821 shares of common stock held by the Young Family Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee, and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- The Options are fully vested and exercisable.
Billionaire Hedge Funds
