SEC Form 4 · accession 0001179110-17-014282
AXT INC · AXTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary L Fischer
Officer — VP, CFO & Corporate Secretary
Period of report
Nov 16, 2017
Accepted (ET)
Nov 16, 2017 · 7:59 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 16, 2017 | M | 9,750 | $2.29 | A | 84,515 | D | |
| Common Stock | Nov 16, 2017 | S | 20,000 | $9.16 | D | 64,515 | 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 | $2.29 | Nov 16, 2017 | M | 2 | A | Jun 2, 2015 | Jun 2, 2025 | Common Stock | 9,750 | 401,138 | D |