SEC Form 4 · accession 0001179110-16-031373
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
Nov 8, 2016
Accepted (ET)
Nov 9, 2016 · 3:19 pm EST
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 | Nov 8, 2016 | M | 81,861 | $3.46 | A | 117,861 | D | |
| Common StockF2 | Nov 8, 2016 | S | 81,861 | $5.07 | D | 36,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3,F4,F5 | $3.46 | Nov 8, 2016 | M | 81,861 | D | Oct 26, 2014 | Nov 4, 2023 | Common Stock | 81,861 | 106,118 | D |
Explanation of responses
- F1Price in column 4 is a weighted average price. Prices actually sold between $2.04 to $4.79.
- F2Price in column 4 is a weighted average price. Prices actually sold between $5.05 to $5.23.
- F3Price in column 2 is a weighted average price. Prices actually sold between $2.04 to $4.79.
- F4Earliest date shown. Exercisable date of multiple lots between 10/26/2013 and 11/4/2017.
- F5Latest date shown. Expriation date of multiple lots between 10/26/2019 and 11/4/2023.