SEC Form 4 · accession 0001179110-17-013846
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 3, 2017
Accepted (ET)
Nov 7, 2017 · 7:33 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 3, 2017 | M | 8,125 | $4.20 | A | 44,125 | D | |
| Common Stock | Nov 3, 2017 | S | 8,125 | $8.80 | 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 | $4.20 | Nov 3, 2017 | M | 8,125 | D | Nov 3, 2015 | Nov 3, 2025 | Stock Option | 8,125 | 33,687 | D |