Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AXT INCAXTI · Entity 4105 | VP Business Development | November 16, 2017 | November 17, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AXT INC
Report date November 16, 2017 · Filed November 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,750 |
Reported balance
After 2017-11-16 transaction · row 1
1 source rowRow 1 · 2017-11-16 · Sale · Disposed 25,250 · Balance 10,750 |
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 16, 2017 Filed Nov 17, 2017 00:58 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 25,250 | $8.94 | $225,735.00 |
DisclosureSEC source: 0001179110-17-014280 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,750 Read SEC document |
| November 03, 2017 Filed Nov 8, 2017 00:33 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 8,125 | $4.20 Strike: $4.20 | $34,125.00 |
DisclosureSEC source: 0001179110-17-013846 · edgar.xml · derivative · entry 3 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,687 Underlying: Stock Option · 8,125 shares Expires 2025-11-03 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 |
| November 03, 2017 Filed Nov 8, 2017 00:33 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 8,125 | $8.80 | $71,500.00 |
DisclosureSEC source: 0001179110-17-013846 · edgar.xml · nonDerivative · entry 2 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Read SEC document |
| November 03, 2017 Filed Nov 8, 2017 00:33 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 8,125 | $4.20 | $34,125.00 |
DisclosureSEC source: 0001179110-17-013846 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,125 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 |
| August 08, 2017 Filed Nov 8, 2017 00:30 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 38,869 | $5.34 Strike: $5.34 | $207,560.46 |
DisclosureSEC source: 0001179110-17-013841 · edgar.xml · derivative · entry 3 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,812 Underlying: Stock Option · 38,869 shares Expires 2021-08-02 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 |
| August 08, 2017 Filed Nov 8, 2017 00:30 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 38,869 | $8.02 | $311,729.38 |
DisclosureSEC source: 0001179110-17-013841 · edgar.xml · nonDerivative · entry 2 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Read SEC document |
| August 08, 2017 Filed Nov 8, 2017 00:30 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 38,869 | $5.34 | $207,560.46 |
DisclosureSEC source: 0001179110-17-013841 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,869 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 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock · Derivative | 1,500 | $2.18 Strike: $2.18 | $3,270.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · derivative · entry 7 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,681 Underlying: Common Stock · 1,500 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. F3 · derivative.exercise_date: Earliest date shown. Exercisable date of multiple lots between 11/2/2016 to 11/2/2019. Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option · Derivative | 3,000 | $2.47 Strike: $2.47 | $7,410.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · derivative · entry 6 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,181 Underlying: Common Stock · 3,000 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. F2 · derivative.exercise_date: Earliest date shown. Exercisable date of multiple lots between 11/3/2015 to 11/4/2018. Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 3,000 | $2.36 Strike: $2.36 | $7,080.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · derivative · entry 5 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,181 Underlying: Common Stock · 3,000 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. F1 · derivative.exercise_date: Earliest date shown. Exercisable date of multiple lots between 11/4/2014 to 11/4/2017. Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 7,500 | $6.93 | $51,975.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · nonDerivative · entry 4 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 1,500 | $2.18 | $3,270.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · nonDerivative · entry 3 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,500 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 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 3,000 | $2.47 | $7,410.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · nonDerivative · entry 2 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 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 23, 2017 Filed May 25, 2017 17:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 3,000 | $2.36 | $7,080.00 |
DisclosureSEC source: 0001179110-17-007987 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,000 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 30, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option · Derivative | 5,250 | $2.18 Strike: $2.18 | $11,445.00 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · derivative · entry 10 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,181 Underlying: Common Stock · 5,250 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 |
| November 30, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option · Derivative | 4,248 | $2.47 Strike: $2.47 | $10,492.56 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · derivative · entry 9 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,431 Underlying: Common Stock · 4,248 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 |
| November 30, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 9,498 | $4.95 | $47,015.10 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · nonDerivative · entry 6 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 5,250 | $2.18 | $11,445.00 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · nonDerivative · entry 5 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,498 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 30, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 4,248 | $2.47 | $10,492.56 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · nonDerivative · entry 4 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,248 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 29, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option · Derivative | 7,752 | $2.47 Strike: $2.47 | $19,147.44 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · derivative · entry 8 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,679 Underlying: Common Stock · 7,752 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 |
| November 29, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option · Derivative | 687 | $2.91 Strike: $2.91 | $1,999.17 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · derivative · entry 7 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,431 Underlying: Common Stock · 687 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 |
| November 29, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 8,439 | $5.00 | $42,195.00 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · nonDerivative · entry 3 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 7,752 | $2.47 | $19,147.44 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · nonDerivative · entry 2 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,439 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 29, 2016 Filed Dec 1, 2016 20:24 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 687 | $2.91 | $1,999.17 |
DisclosureSEC source: 0001179110-16-032264 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,687 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 08, 2016 Filed Nov 9, 2016 20:19 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 81,861 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001179110-16-031373 · edgar.xml · derivative · entry 3 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,118 Underlying: Common Stock · 81,861 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. F3 · derivative.exercise_price: Price in column 2 is a weighted average price. Prices actually sold between $2.04 to $4.79. F4 · derivative.exercise_date: Earliest date shown. Exercisable date of multiple lots between 10/26/2013 and 11/4/2017. F5 · derivative.expiration_date: Latest date shown. Expriation date of multiple lots between 10/26/2019 and 11/4/2023. Read SEC document |
| November 08, 2016 Filed Nov 9, 2016 20:19 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 81,861 | $5.07 | $415,035.27 |
DisclosureSEC source: 0001179110-16-031373 · edgar.xml · nonDerivative · entry 2 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 F2 · price: Price in column 4 is a weighted average price. Prices actually sold between $5.05 to $5.23. Read SEC document |
| November 08, 2016 Filed Nov 9, 2016 20:19 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 81,861 | $3.46 | $283,239.06 |
DisclosureSEC source: 0001179110-16-031373 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,861 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 · price: Price in column 4 is a weighted average price. Prices actually sold between $2.04 to $4.79. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 18:07 UTC | AXT INC AXTI · Entity 4105 | GrantStock Options · Derivative | 21,000 | $5.21 Strike: $5.21 | $109,410.00 |
DisclosureSEC source: 0001179110-16-031043 · edgar.xml · derivative · entry 2 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,979 Underlying: Common Stock · 21,000 shares Expires 2026-10-28 F2 · shares: 1/4 vested on first year anniversary and 1/48 monthly thereafter. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 18:07 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 7,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-031043 · edgar.xml · nonDerivative · entry 1 Ochrym Robert G · CIK 0001415887 · VP Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.