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