SEC Form 4 · accession 0001179110-16-032264
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 29, 2016
Accepted (ET)
Dec 1, 2016 · 3:24 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 Stock | Nov 29, 2016 | M | 687 | $2.91 | A | 36,687 | D | |
| Common Stock | Nov 29, 2016 | M | 7,752 | $2.47 | A | 44,439 | D | |
| Common Stock | Nov 29, 2016 | S | 8,439 | $5.00 | D | 36,000 | D | |
| Common Stock | Nov 30, 2016 | M | 4,248 | $2.47 | A | 40,248 | D | |
| Common Stock | Nov 30, 2016 | M | 5,250 | $2.18 | A | 45,498 | D | |
| Common Stock | Nov 30, 2016 | S | 9,498 | $4.95 | 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 Option | $2.91 | Nov 29, 2016 | M | 687 | D | Nov 5, 2013 | Nov 5, 2022 | Common Stock | 687 | 105,431 | D |
| Stock Option | $2.47 | Nov 29, 2016 | M | 7,752 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 7,752 | 97,679 | D |
| Stock Option | $2.47 | Nov 30, 2016 | M | 4,248 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 4,248 | 93,431 | D |
| Stock Option | $2.18 | Nov 30, 2016 | M | 5,250 | D | Nov 2, 2016 | Nov 2, 2025 | Common Stock | 5,250 | 88,181 | D |