0001140361-14-033376.txt : 20140818
0001140361-14-033376.hdr.sgml : 20140818
20140818185303
ACCESSION NUMBER: 0001140361-14-033376
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140814
FILED AS OF DATE: 20140818
DATE AS OF CHANGE: 20140818
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AXT INC
CENTRAL INDEX KEY: 0001051627
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 943031310
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4281 TECHNOLOGY DR.
CITY: FREMONT
STATE: CA
ZIP: 94538
BUSINESS PHONE: 510.438.4734
MAIL ADDRESS:
STREET 1: 4281 TECHNOLOGY DR.
CITY: FREMONT
STATE: CA
ZIP: 94538
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN XTAL TECHNOLOGY
DATE OF NAME CHANGE: 19971217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ochrym Robert G
CENTRAL INDEX KEY: 0001415887
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-24085
FILM NUMBER: 141050267
MAIL ADDRESS:
STREET 1: 4281 TECHNOLOGY DRIVE
CITY: FREMONT
STATE: CA
ZIP: 94538
4
1
doc1.xml
FORM 4
X0306
4
2014-08-14
0
0001051627
AXT INC
AXTI
0001415887
Ochrym Robert G
4281 TECHNOLOGY DRIVE
FREMONT
CA
94538
0
1
0
0
VP Business Development
Common Stock
2014-08-14
4
M
0
6750
1.59
A
44550
D
Common Stock
2014-08-14
4
S
0
6750
2.45
D
37800
D
Common Stock
2014-08-14
4
S
0
8800
2.45
D
29000
D
Stock Options (right to buy)
1.59
2014-08-14
4
M
0
6750
0
D
2012-10-31
2018-10-31
Common Stock
6750
0
D
1/4 vested on first year anniversary of October 31, 2008 and 1/48 vested monthly thereafter. The option became fully vested on October 31, 2012.
Represents grant of restricted stock award, which vests in four equal annual installments on each anniversary of the date of grant of August 2, 2010.
Includes 29,000 shares subject to restricted stock awards, a portion of which is subject to vesting.
/s/ As attorney-in-fact for Robert G Ochrym
2014-08-18