SEC Form 4 · accession 0001179110-17-007987
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
May 23, 2017
Accepted (ET)
May 25, 2017 · 1:27 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 | May 23, 2017 | M | 3,000 | $2.36 | A | 39,000 | D | |
| Common Stock | May 23, 2017 | M | 3,000 | $2.47 | A | 42,000 | D | |
| Common Stock | May 23, 2017 | M | 1,500 | $2.18 | A | 43,500 | D | |
| Common Stock | May 23, 2017 | S | 7,500 | $6.93 | 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 OptionsF1 | $2.36 | May 23, 2017 | M | 3,000 | D | Nov 4, 2014 | Nov 4, 2023 | Common Stock | 3,000 | 85,181 | D |
| Stock OptionF2 | $2.47 | May 23, 2017 | M | 3,000 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 3,000 | 82,181 | D |
| Common StockF3 | $2.18 | May 23, 2017 | M | 1,500 | D | Nov 2, 2016 | Nov 2, 2025 | Common Stock | 1,500 | 80,681 | D |
Explanation of responses
- F1Earliest date shown. Exercisable date of multiple lots between 11/4/2014 to 11/4/2017.
- F2Earliest date shown. Exercisable date of multiple lots between 11/3/2015 to 11/4/2018.
- F3Earliest date shown. Exercisable date of multiple lots between 11/2/2016 to 11/2/2019.