SEC Form 4 · accession 0001140361-15-025921
AXT INC · AXTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hong Q Hou
Officer — Chief Operating Officer
Period of report
Jun 29, 2015
Accepted (ET)
Jun 30, 2015 · 9:07 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001051627
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 29, 2015 | A | 300,000 | $0.00 | A | 300,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the grant of a restricted stock award, which 75,000 shares vested on 6/29/2015 and the remaining 225,000 shares vests in eight equal installments on each June 30 and December 31 (except there will be no such vesting for June 30, 2015), conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date.