Filing Details
- Accession Number:
- 0001179110-20-010321
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-07 12:56:10
- Reporting Period:
- 2020-10-05
- Accepted Time:
- 2020-10-07 12:56:10
- 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 | 2020-10-05 | 7,562 | $2.29 | 208,021 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-05 | 7,562 | $6.54 | 200,459 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-10-05 | 3,946 | $2.47 | 204,405 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-05 | 3,946 | $6.54 | 200,459 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-10-05 | 8,392 | $2.18 | 208,851 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-05 | 8,392 | $6.67 | 200,459 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | 2020-10-05 | 7,562 | $2.29 | 7,562 | $2.29 |
| Common Stock | Stock Options | Disposition | 2020-10-05 | 3,946 | $2.47 | 3,946 | $2.47 |
| Common Stock | Stock Options | Disposition | 2020-10-05 | 8,392 | $2.18 | 8,392 | $2.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 414,832 | 2015-06-02 | 2024-06-02 | No | 4 | M | Direct |
| 410,886 | 2015-11-03 | 2024-11-03 | No | 4 | M | Direct |
| 402,494 | 2016-11-02 | 2025-11-02 | No | 4 | M | Direct |
Footnotes
- 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.
Billionaire Hedge Funds
