SEC Form 4 · accession 0001140361-15-033358
AXT INC · AXTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Davis Zhang
Other
Period of report
Aug 25, 2015
Accepted (ET)
Aug 25, 2015 · 2:50 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 21, 2015 | S | 7,000 | $2.16 | D | 173,123 | D | |
| Common Stock | Aug 24, 2015 | M | 50,000 | $1.33 | A | 223,123 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy) | $1.33 | Aug 24, 2015 | M | 50,000 | D | Sep 2, 2006 | Sep 2, 2015 | Common Stock | 50,000 | 604,750 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually sold for the stock ranged from $2.14 to $2.17