SEC Form 4 · accession 0001179110-17-013841
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 8, 2017
Accepted (ET)
Nov 7, 2017 · 7:30 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 | Aug 8, 2017 | M | 38,869 | $5.34 | A | 74,869 | D | |
| Common Stock | Aug 8, 2017 | S | 38,869 | $8.02 | 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 Options | $5.34 | Aug 8, 2017 | M | 38,869 | D | Aug 2, 2011 | Aug 2, 2021 | Stock Option | 38,869 | 41,812 | D |