Last 12 months
Inside the activity.
0 purchase rows · 50 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 9 |
| Dec 2025 | 0 | 4 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 21 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 14 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 2 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 02, 2020 Filed Oct 5, 2020 17:31 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionCommon Stock | 100 | $2.29 | $229.00 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · nonDerivative · entry 5 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,559 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 02, 2020 Filed Oct 5, 2020 17:31 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
SaleCommon Stock | 19,870 | $6.44 | $127,962.80 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · nonDerivative · entry 4 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,459 Read SEC document |
| October 02, 2020 Filed Oct 5, 2020 17:31 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionCommon Stock | 19,870 | $2.29 | $45,502.30 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · nonDerivative · entry 3 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,329 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 17:31 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionStock Options · Derivative | 130 | $2.29 Strike: $2.29 | $297.70 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · derivative · entry 7 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 442,364 Underlying: Common Stock · 130 shares Expires 2024-06-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 17:31 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
SaleCommon Stock | 130 | $6.44 | $837.20 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · nonDerivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,459 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2020. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 17:31 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionCommon Stock | 130 | $2.29 | $297.70 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,589 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 15:42 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionStock Options · Derivative | 6,584 | $2.29 Strike: $2.29 | $15,077.36 |
DisclosureSEC source: 0001179110-20-010011 · edgar.xml · derivative · entry 5 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 442,494 Underlying: Common Stock · 6,584 shares Expires 2024-06-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 15:42 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
SaleCommon Stock | 13,416 | $6.34 | $85,057.44 |
DisclosureSEC source: 0001179110-20-010011 · edgar.xml · nonDerivative · entry 4 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,459 Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 15:42 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
SaleCommon Stock | 20,000 | $6.25 | $125,000.00 |
DisclosureSEC source: 0001179110-20-010011 · edgar.xml · nonDerivative · entry 3 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,875 Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 15:42 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
SaleCommon Stock | 6,584 | $6.34 | $41,742.56 |
DisclosureSEC source: 0001179110-20-010011 · edgar.xml · nonDerivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,875 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2020. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 15:42 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionCommon Stock | 6,584 | $2.29 | $15,077.36 |
DisclosureSEC source: 0001179110-20-010011 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,459 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 18:18 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
SaleCommon Stock | 5,000 | $6.01 | $30,050.00 |
DisclosureSEC source: 0001179110-20-009851 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,803,169 F1 · balance_after: This total includes 1,347,112 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Persons previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 18:07 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionStock Option (right to buy) · Derivative | 120,000 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001179110-20-009578 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,022,754 Underlying: Common Stock · 120,000 shares Expires 2025-11-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 18:07 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 120,000 | $2.18 | $261,600.00 |
DisclosureSEC source: 0001179110-20-009578 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,808,169 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This total includes 1,352,112 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Persons previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos Read SEC document |
| August 26, 2020 Filed Aug 27, 2020 22:51 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
SaleCommon Stock | 5,000 | $6.00 | $30,000.00 |
DisclosureSEC source: 0001179110-20-009400 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,724,019 F1 · balance_after: This total includes 1,267,96 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos Read SEC document |
| August 02, 2020 Filed Aug 27, 2020 22:51 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
OtherStock Option (right to buy) · Derivative | 110,000 | $0.00 Strike: $5.83 | $0.00 |
DisclosureSEC source: 0001179110-20-009400 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,142,754 Underlying: Common Stock · 110,000 shares Expires 2020-08-02 F2 · balance_after: On August 2, 2020, 110,000 stock options expired. Read SEC document |
| July 28, 2020 Filed Jul 29, 2020 22:38 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionStock Option (right to buy) · Derivative | 108,000 | $0.00 Strike: $2.91 | $0.00 |
DisclosureSEC source: 0001179110-20-008549 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,252,754 Underlying: Common Stock · 108,000 shares Expires 2022-11-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 28, 2020 Filed Jul 29, 2020 22:38 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 108,000 | $2.91 | $314,280.00 |
DisclosureSEC source: 0001179110-20-008549 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,729,019 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This total includes 626,806 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 218,113 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 183,617 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 350,000 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose Read SEC document |
| May 29, 2020 Filed May 29, 2020 23:26 UTC |
CHEN JESSEDirector
|
SaleCommon Stock | 10,000 | $5.33 | $53,300.00 |
DisclosureSEC source: 0001179110-20-006733 · edgar.xml · nonDerivative · entry 1 CHEN JESSE · CIK 0001268534 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,056 Read SEC document |
| May 28, 2020 Filed Jun 1, 2020 19:52 UTC |
CHANG DAVID CDirector
|
SaleCommon Stock | 12,800 | $5.48 | $70,144.00 |
DisclosureSEC source: 0001179110-20-006741 · edgar.xml · nonDerivative · entry 1 CHANG DAVID C · CIK 0001188184 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,962 Read SEC document |
| May 27, 2020 Filed Feb 18, 2021 17:28 UTC |
CHEN JESSEDirector
|
SaleCommon Stock | 10,000 | $5.33 | $53,300.00 |
DisclosureSEC source: 0001179110-21-001853 · edgar.xml · nonDerivative · entry 1 CHEN JESSE · CIK 0001268534 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,056 Read SEC document |
| May 21, 2020 Filed May 22, 2020 23:29 UTC |
CHEN JESSEDirector
|
GrantCommon Stock | 10,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006552 · edgar.xml · nonDerivative · entry 2 CHEN JESSE · CIK 0001268534 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,056 F1 · shares: Represents the grant of a restricted stock award, 100% of shares of common stock shall be vested on the one year anniversary of the date of grant, conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
| May 21, 2020 Filed May 22, 2020 23:29 UTC |
CHEN JESSEDirector
|
SaleCommon Stock | 10,000 | $5.56 | $55,600.00 |
DisclosureSEC source: 0001179110-20-006552 · edgar.xml · nonDerivative · entry 1 CHEN JESSE · CIK 0001268534 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,147 Read SEC document |
| May 21, 2020 Filed May 22, 2020 22:54 UTC |
CHANG DAVID CDirector
|
GrantCommon Stock | 10,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006548 · edgar.xml · nonDerivative · entry 1 CHANG DAVID C · CIK 0001188184 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,762 F1 · shares: 1. Represents the grant of a restricted stock award, 100% of shares of common stock shall be vested on the one year anniversary of the date of grant, conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
| May 21, 2020 Filed May 22, 2020 22:53 UTC |
LEBLANC LEONARD JDirector
|
GrantCommon Stock | 10,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006547 · edgar.xml · nonDerivative · entry 1 LEBLANC LEONARD J · CIK 0001244065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,928 F1 · shares: Represents the grant of a restricted stock award, 100% of shares of common stock shall be vested on the one year anniversary of the date of grant, conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
| May 21, 2020 Filed May 22, 2020 22:52 UTC |
CHRISTINE RUSSELLDirector
|
GrantCommon Stock | 10,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006546 · edgar.xml · nonDerivative · entry 1 CHRISTINE RUSSELL · CIK 0001226107 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,088 F1 · shares: 1. Represents the grant of a restricted stock award, 100% of shares of common stock shall be vested on the one year anniversary of the date of grant, conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:06 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
GiftCommon Stock | 4,000 | $1.18 | $4,720.00 |
DisclosureSEC source: 0001179110-20-006344 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,621,019 F1 · balance_after: This total includes 518,806 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 218,113 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 183,617 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 350,000 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose Read SEC document |
| February 25, 2020 Filed Feb 26, 2020 19:03 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionStock Options · Derivative | 100,000 | $2.29 Strike: $2.29 | $229,000.00 |
DisclosureSEC source: 0001179110-20-002340 · edgar.xml · derivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449,078 Underlying: Common Stock · 100,000 shares Expires 2024-06-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 25, 2020 Filed Feb 26, 2020 19:03 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
Exercise / conversionCommon Stock | 100,000 | $2.29 | $229,000.00 |
DisclosureSEC source: 0001179110-20-002340 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,875 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 13, 2020 Filed Jan 16, 2020 00:06 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionStock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $2.36 | $0.00 |
DisclosureSEC source: 0001179110-20-000593 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,361,204 Underlying: Common Stock · 90,000 shares Expires 2023-11-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 13, 2020 Filed Jan 16, 2020 00:06 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 90,000 | $2.36 | $212,400.00 |
DisclosureSEC source: 0001179110-20-000593 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,625,019 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This total includes 522,806 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 218,113 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 183,617 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 350,000 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 23, 2019 Filed Dec 31, 2019 02:23 UTC |
CHRISTINE RUSSELLDirector
|
GrantCommon Stock | 6,179 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-013202 · edgar.xml · nonDerivative · entry 1 CHRISTINE RUSSELL · CIK 0001226107 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,179 F1 · shares: Represents grant of restricted stock award, 100% shares of common stock shall vest on May 21, 2020 (date of AXT, Inc.'s annual shareholder meeting), conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
| December 23, 2019 Filed Dec 31, 2019 02:20 UTC Amendment |
Uni-PixelDirector
|
GrantCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-013201 · edgar.xml · nonDerivative · entry 1 Uni-Pixel · CIK 0001171012 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: This Form 4 was filed in error for the incorrect reporting person. Uni-Pixel, Inc. is not the beneficial owner of any securities of AXT, Inc. F2 · shares: The reporting person did not receive a grant of a restricted stock award. F2 · balance_after: The reporting person did not receive a grant of a restricted stock award. Read SEC document |
| December 23, 2019 Filed Dec 30, 2019 21:21 UTC |
Uni-PixelDirector
|
GrantCommon Stock | 6,179 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-013191 · edgar.xml · nonDerivative · entry 1 Uni-Pixel · CIK 0001171012 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,179 F1 · shares: Represents grants of restricted stock awards, 100% shares of common stock shall vest on May 21, 2020 (date of AXT, Inc.'s annual shareholder meeting), conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 18:12 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
GrantStock Option (right to buy) · Derivative | 337,720 | $3.06 Strike: $3.06 | $1,033,423.20 |
DisclosureSEC source: 0001179110-19-011551 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,451,204 Underlying: Common Stock · 337,720 shares Expires 2029-11-06 F2 · shares: 1/4 vested on first anniversary and 1/48 thereafter. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 18:12 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
GrantCommon Stock | 160,330 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-011551 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,535,019 F1 · shares: Represents grant of restricted stock awards which vest in four equal installments on each anniversary of the grant date. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 16:53 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
GrantStock Options · Derivative | 92,440 | $3.06 Strike: $3.06 | $282,866.40 |
DisclosureSEC source: 0001179110-19-011544 · edgar.xml · derivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,078 Underlying: Common Stock · 92,440 shares Expires 2029-11-06 F2 · derivative.underlying_shares: 1/4 vested on first year anniversary and 1/48 monthly thereafter Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 16:53 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
GrantCommon Stock | 43,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-011544 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,875 F1 · shares: Represent grant of restricted stock awards which vest in four equal installments on each anniversary of the date of grant. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionStock Option (right to buy) · Derivative | 53,221 | $0.00 Strike: $2.47 | $0.00 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · derivative · entry 6 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,113,484 Underlying: Common Stock · 53,221 shares Expires 2024-11-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionStock Option (right to buy) · Derivative | 19,199 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · derivative · entry 5 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,166,705 Underlying: Common Stock · 19,199 shares Expires 2025-11-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionStock Option (right to buy) · Derivative | 42,779 | $0.00 Strike: $2.47 | $0.00 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · derivative · entry 4 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,185,904 Underlying: Common Stock · 42,779 shares Expires 2024-11-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 53,221 | $2.47 | $131,455.87 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,374,689 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This total includes 684,788 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 346,162 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 343,256 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 19,199 | $2.18 | $41,853.82 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,321,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 42,779 | $2.47 | $105,664.13 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302,269 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 05, 2018 Filed Nov 8, 2018 20:56 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
GrantStock Option (right to buy) · Derivative | 189,990 | $5.77 Strike: $5.77 | $1,096,242.30 |
DisclosureSEC source: 0001179110-18-012665 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,228,683 Underlying: Common Stock · 189,990 shares Expires 2028-11-05 Read SEC document |
| November 05, 2018 Filed Nov 8, 2018 20:56 UTC |
YOUNG MORRIS SDirector · Chief Executive Officer
|
GrantCommon Stock | 87,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-012665 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,259,490 F1 · balance_after: This total includes 569,589 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 346,162 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 343,256 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 05, 2018 Filed Nov 8, 2018 18:30 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
GrantStock Options · Derivative | 55,500 | $5.77 Strike: $5.77 | $320,235.00 |
DisclosureSEC source: 0001179110-18-012656 · edgar.xml · derivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,638 Underlying: Common Stock · 55,500 shares Expires 2028-11-05 F2 · derivative.underlying_shares: 1/4 vested on first year anniversary and 1/48 monthly thereafter Read SEC document |
| November 05, 2018 Filed Nov 8, 2018 18:30 UTC |
FISCHER GARY LVP, CFO & Corporate Secretary
|
GrantCommon Stock | 25,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-012656 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,935 F1 · shares: Represent grant of restricted stock awards which vest in four equal installments on each anniversary of the date of grant. Read SEC document |
| August 21, 2018 Filed Aug 21, 2018 23:02 UTC |
LEBLANC LEONARD JDirector
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Exercise / conversionCommon Stock | 3,984 | $7.45 | $29,687.17 |
DisclosureSEC source: 0001179110-18-010747 · edgar.xml · nonDerivative · entry 1 LEBLANC LEONARD J · CIK 0001244065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,567 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 24, 2018 Filed May 25, 2018 00:40 UTC |
LEBLANC LEONARD JDirector
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GrantCommon Stock | 7,594 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-007497 · edgar.xml · nonDerivative · entry 1 LEBLANC LEONARD J · CIK 0001244065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,551 F1 · shares: Represents the grant of a restricted stock award, 100% of shares of common stock shall be vested on the the one year anniversary of the date of grant, conditioned upon the Reporting Person's continued status as a service provider on each relevant vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.