AXT INC — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Pai Nai-yu | — | Award / Grant | 7,692 | — | — | 18,239 | May 15, 2012 |
| CHANG DAVID C | — | Award / Grant | 7,692 | — | — | 98,341 | May 15, 2012 |
| LEBLANC LEONARD J | — | Award / Grant | 7,692 | — | — | 92,491 | May 15, 2012 |
| CHEN JESSE | — | Award / Grant | 7,692 | — | — | 142,616 | May 15, 2012 |
| YOUNG MORRIS S | Chief Executive Officer | Option Exercise | 100,000 | $2.19 | $219,000 | 343,169 | Feb 28, 2012 |
| Zhang Davis | President, JV Operations | Award / Grant | 34,438 | — | — | 80,488 | Oct 28, 2011 |
| YOUNG MORRIS S | Chief Executive Officer | Award / Grant | 30,000 | — | — | 243,169 | Oct 28, 2011 |
| Ochrym Robert G | VP Business Development | Award / Grant | 10,000 | — | — | 18,800 | Oct 28, 2011 |
| Low Raymond Anthony | Chief Financial Officer | Award / Grant | 7,000 | — | — | 48,000 | Oct 28, 2011 |
| Zhang Davis | President, JV Operations | Sale | 10,000 | $7.76 | $77,600 | 46,050 | Aug 31, 2011 |
| Zhang Davis | President, JV Operations | Sale | 20,000 | $8.05 | $161,000 | 56,050 | Aug 30, 2011 |
| Ochrym Robert G | VP Business Development | Option Exercise | 4,500 | $1.59 | $7,155 | 24,875 | Aug 2, 2011 |
| LEBLANC LEONARD J | — | Option Exercise | 6,000 | $1.38 | $8,280 | 90,799 | Aug 1, 2011 |
| YOUNG MORRIS S | Chief Executive Officer | Other | 28,125 | — | — | 483 | May 27, 2011 |
| YOUNG MORRIS S | Chief Executive Officer | Sale | 17,755 | $7.99 | $141,862 | 213,169 | May 27, 2011 |
| Pai Nai-yu | — | Award / Grant | 4,137 | — | — | 10,547 | May 23, 2011 |
| CHEN JESSE | — | Award / Grant | 4,137 | — | — | 134,924 | May 23, 2011 |
| CHANG DAVID C | — | Award / Grant | 4,137 | — | — | 90,649 | May 23, 2011 |
| LEBLANC LEONARD J | — | Award / Grant | 4,137 | — | — | 84,799 | May 23, 2011 |
| YOUNG MORRIS S | Chief Executive Officer | Sale | 13,000 | $8.49 | $110,370 | 143,820 | Nov 24, 2010 |
| Zhang Davis | President, JV Operations | Sale | 13,302 | $8.25 | $109,742 | 81,550 | Nov 24, 2010 |
| CHANG DAVID C | — | Sale | 1,400 | $8.20 | $11,480 | 84,912 | Nov 23, 2010 |
| YOUNG MORRIS S | Chief Executive Officer | Gift | 5,000 | — | — | 336,462 | Nov 4, 2010 |
| YOUNG MORRIS S | Chief Executive Officer | Other | 250,000 | — | — | 22,738 | Nov 2, 2010 |
| CHANG DAVID C | — | Purchase | 3,000 | $5.15 | $15,450 | 86,312 | Aug 31, 2010 |
| CHANG DAVID C | — | Purchase | 3,000 | $5.49 | $16,470 | 83,512 | Aug 23, 2010 |
| YOUNG MORRIS S | Chief Executive Officer | Other | 150,000 | — | — | 272,738 | Aug 20, 2010 |
| CHEN JESSE | — | Purchase | 11,834 | $5.24 | $62,010 | 130,787 | Aug 11, 2010 |
| Zhang Davis | President , JV Operations | Award / Grant | 22,000 | $5.83 | $128,260 | 94,852 | Aug 3, 2010 |
| YOUNG MORRIS S | Chief Executive Officer | Award / Grant | 35,000 | $5.83 | $204,050 | 79,320 | Aug 3, 2010 |
| Ochrym Robert G | VP Business Development | Award / Grant | 11,000 | $5.83 | $64,130 | 11,000 | Aug 3, 2010 |
| Low Raymond Anthony | Acting CFO | Award / Grant | 11,000 | $5.83 | $64,130 | 41,000 | Aug 3, 2010 |
| Cerilli John J | VP Global Sales & Marketing | Award / Grant | 4,400 | $5.83 | $25,652 | 4,400 | Aug 3, 2010 |
| YOUNG MORRIS S | Chief Executive Officer | Other | 4,000 | — | — | 325,462 | May 10, 2010 |
| LEBLANC LEONARD J | — | Award / Grant | 9,009 | $3.33 | $30,000 | 80,662 | Apr 7, 2010 |
| CHEN JESSE | — | Award / Grant | 9,009 | $3.33 | $30,000 | 118,953 | Apr 7, 2010 |
| CHANG DAVID C | — | Award / Grant | 9,009 | $3.33 | $30,000 | 80,512 | Apr 7, 2010 |
| Cerilli John J | VP Global Sales & Marketing | Sale | 11,582 | $3.50 | $40,537 | — | Feb 26, 2010 |
| Ochrym Robert G | VP Business Development | Option Exercise | 10,000 | $1.32 | $13,200 | 10,000 | Feb 26, 2010 |
| CHEN JESSE | — | Purchase | 14,166 | $2.16 | $30,599 | 109,944 | Nov 3, 2009 |
| CHANG DAVID C | — | Purchase | 3,000 | $1.81 | $5,430 | 71,503 | Aug 31, 2009 |
| YOUNG MORRIS S | — | Purchase | 30,000 | $0.90 | $27,000 | 888,520 | May 12, 2009 |
| CHEN JESSE | — | Award / Grant | 22,727 | — | — | 95,778 | Apr 27, 2009 |
| LEBLANC LEONARD J | — | Award / Grant | 22,727 | — | — | 71,653 | Apr 27, 2009 |
| CHANG DAVID C | — | Award / Grant | 22,727 | — | — | 68,503 | Apr 27, 2009 |
| YOUNG MORRIS S | — | Award / Grant | 22,727 | — | — | 778,520 | Apr 27, 2009 |
| Low Raymond Anthony | VP Corporate Controller | Award / Grant | 30,000 | — | — | 30,000 | Apr 27, 2009 |
| CHEN JESSE | — | Purchase | 8,468 | $0.88 | $7,452 | 73,051 | Nov 21, 2008 |
| Yin Philip C S | Chairman & CEO | Purchase | 3,200 | $0.93 | $2,976 | 20,500 | Nov 20, 2008 |
| Cheung Wilson Wai-Shun | Chief Financial Officer | Purchase | 1,000 | $1.26 | $1,260 | 1,000 | Nov 10, 2008 |