AXT INC 4

4 · AXT INC · Filed Dec 1, 2016

Form 4

Period: 2016-11-29

VP Business Development

Transactions

Exercise/Conversion
Common Stock
2016-11-29$2.91/sh+687$1,999→ 36,687 total
Sale
Common Stock
2016-11-30$4.95/sh−9,498$47,015→ 36,000 total
Exercise/Conversion
Common Stock
2016-11-29$2.47/sh+7,752$19,147→ 44,439 total
Exercise/Conversion
Stock Option
2016-11-29$2.91/sh−687$1,999→ 105,431 total
Exercise: $2.91From: 2013-11-05Exp: 2022-11-05→ Common Stock (687 underlying)
Exercise/Conversion
Common Stock
2016-11-30$2.47/sh+4,248$10,493→ 40,248 total
Exercise/Conversion
Common Stock
2016-11-30$2.18/sh+5,250$11,445→ 45,498 total
Exercise/Conversion
Stock Option
2016-11-29$2.47/sh−7,752$19,147→ 97,679 total
Exercise: $2.47From: 2015-11-03Exp: 2024-11-03→ Common Stock (7,752 underlying)
Exercise/Conversion
Stock Option
2016-11-30$2.18/sh−5,250$11,445→ 88,181 total
Exercise: $2.18From: 2016-11-02Exp: 2025-11-02→ Common Stock (5,250 underlying)
Sale
Common Stock
2016-11-29$5.00/sh−8,439$42,195→ 36,000 total
Exercise/Conversion
Stock Option
2016-11-30$2.47/sh−4,248$10,493→ 93,431 total
Exercise: $2.47From: 2015-11-03Exp: 2024-11-03→ Common Stock (4,248 underlying)

Documents

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