SEC Form 4 · accession 0001140361-15-033019
AXT INC · AXTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Davis Zhang
Other
Period of report
Aug 20, 2015
Accepted (ET)
Aug 20, 2015 · 6:32 pm 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 | Aug 18, 2015 | S | 5,350 | $2.22 | D | 197,123 | D | |
| Common StockF2 | Aug 19, 2015 | S | 10,000 | $2.21 | D | 187,123 | D | |
| Common StockF3 | Aug 20, 2015 | S | 7,000 | $2.15 | D | 180,123 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually sold for the stock ranged from $2.20 to $2.23
- F2The price in Column 4 is a weighted average price. The prices actually sold for the stock ranged from $2.05 to $2.25
- F3The price in Column 4 is a weighted average price. The prices actually sold for the stock ranged from $2.14 to $2.17