SEC Form 4 · accession 0001179110-16-029100
AXT INC · AXTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Ochrym
Officer — VP Business Development
Period of report
Aug 29, 2016
Accepted (ET)
Aug 29, 2016 · 7:31 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 Stock | Aug 29, 2016 | M | 26,577 | $2.04 | A | 55,577 | D | |
| Common StockF1 | Aug 29, 2016 | S | 26,577 | $4.39 | A | 29,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option | $2.04 | Aug 29, 2016 | M | 26,577 | D | Oct 26, 2013 | Oct 26, 2019 | Common Stock | 26,577 | 166,979 | D |
Explanation of responses
- F1Price in Column 4 is a weighted average price. Prices actually sold between $4.38 to $4.39