Form 4 for AXTI AXT INC
Accepted 2021-09-27 00:00:00 ET · period of report 2021-09-27 · accession 0001179110-21-008938 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-09-27 | 2021-09-27 | AXTI | YOUNG MORRIS S | CEO, Dir | M - OptEx | $3.06 | +100.0K | 1.81M | +6% | +$306.0K |
| D | 2021-09-27 | 2021-09-27 | AXTI | YOUNG MORRIS S | CEO, Dir | M - OptEx | $0.00 | -100.0K | 692.0K | -13% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-27 | M | A | 100,000 | $3.06 | 1,811,390 | D | — | — | (F1) This total includes 1,430,753 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Persons previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos |
| 2 | Derivative | Stock Option (Right to Buy) | 2021-09-27 | M | D | 100,000 | $0.00 | 691,953 | D | $3.06 · 2020-11-06 to 2029-11-06 | 100,000 Common Stock |