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AXT INC — Director's Dealing 2007
Aug 15, 2007
33597_dirs_2007-08-14_b912d876-1950-42fe-bf42-03ecc2828d58.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2007-08-08
Reporting Person: Zhang Davis (President , JV Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-08-08 | Common Stock | M | 25000 | $2.19 | Acquired | 113852 | Direct |
| 2007-08-08 | Common Stock | S | 100 | $4.76 | Disposed | 113752 | Direct |
| 2007-08-08 | Common Stock | S | 24900 | $4.75 | Disposed | 88852 | Direct |
| 2007-08-14 | Common Stock | M | 12500 | $2.19 | Acquired | 101352 | Direct |
| 2007-08-14 | Common Stock | S | 904 | $4.75 | Disposed | 100448 | Direct |
| 2007-08-14 | Common Stock | S | 760 | $4.72 | Disposed | 99688 | Direct |
| 2007-08-14 | Common Stock | S | 10836 | $4.71 | Disposed | 88852 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-08-08 | Option to Purchase Common Stock | $2.19 | M | 25000 | Disposed | 2012-11-22 | Common Stock (25000) | Direct |
| 2007-08-14 | Option to Purchase Common Stock | $2.19 | M | 12500 | Disposed | 2012-11-22 | Common Stock (12500) | Direct |
Footnotes
F1: 16,000 shares held by Mr. Zhang's minor children.
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