Filing Details
- Accession Number:
- 0001179110-20-011096
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-13 11:20:06
- Reporting Period:
- 2020-11-11
- Accepted Time:
- 2020-11-13 11:20:06
- 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 | 2020-11-11 | 10,000 | $2.18 | 340,495 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-11 | 10,000 | $7.04 | 330,495 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-11-12 | 10,000 | $2.18 | 340,495 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-12 | 10,000 | $7.14 | 330,495 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2020-11-11 | 10,000 | $2.18 | 10,000 | $2.18 |
| Common Stock | Stock Option | Disposition | 2020-11-12 | 10,000 | $2.18 | 10,000 | $2.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 268,108 | 2016-11-02 | 2025-11-02 | No | 4 | M | Direct |
| 258,108 | 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
