Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AXT INCAXTI · Entity 4105 | CFO | March 12, 2026 | March 16, 2026 |
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 March 12, 2026 · Filed March 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 191,278 |
Ending reported balance
After 2026-03-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-03-12 · Sale · Disposed 8,256 · Balance 272,054 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.02 to $50.72,inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction. Row 2 · 2026-03-13 · Sale · Disposed 80,776 · Balance 191,278 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.19 to $51.38,inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.02 to $50.72,inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.19 to $51.38,inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.
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 |
|---|---|---|---|---|---|---|
| October 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 8,392 | $2.18 Strike: $2.18 | $18,294.56 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · derivative · entry 9 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,494 Underlying: Common Stock · 8,392 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 |
| October 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 3,946 | $2.47 Strike: $2.47 | $9,746.62 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · derivative · entry 8 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410,886 Underlying: Common Stock · 3,946 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 |
| October 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 7,562 | $2.29 Strike: $2.29 | $17,316.98 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · derivative · entry 7 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,832 Underlying: Common Stock · 7,562 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 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 8,392 | $6.67 | $55,974.64 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · nonDerivative · entry 6 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 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 8,392 | $2.18 | $18,294.56 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · nonDerivative · entry 5 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,851 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 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 3,946 | $6.54 | $25,806.84 |
DisclosureSEC source: 0001179110-20-010321 · 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 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 3,946 | $2.47 | $9,746.62 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · nonDerivative · entry 3 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,405 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 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 7,562 | $6.54 | $49,455.48 |
DisclosureSEC source: 0001179110-20-010321 · 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 05, 2020 Filed Oct 7, 2020 16:56 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 7,562 | $2.29 | $17,316.98 |
DisclosureSEC source: 0001179110-20-010321 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,021 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 | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 19,970 | $2.29 Strike: $2.29 | $45,731.30 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · derivative · entry 8 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,394 Underlying: Common Stock · 19,970 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 02, 2020 Filed Oct 5, 2020 17:31 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 100 | $6.54 | $654.00 |
DisclosureSEC source: 0001179110-20-010216 · edgar.xml · nonDerivative · entry 6 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 |
| February 25, 2020 Filed Feb 26, 2020 19:03 UTC | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 |
| November 06, 2019 Filed Nov 8, 2019 16:53 UTC | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 |
| November 05, 2018 Filed Nov 8, 2018 18:30 UTC | AXT INC AXTI · Entity 4105 | 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 | AXT INC AXTI · Entity 4105 | 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 |
| November 16, 2017 Filed Nov 17, 2017 00:59 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options · Derivative | 2.29 | $2.29 Strike: $2.29 | $5.24 |
DisclosureSEC source: 0001179110-17-014282 · edgar.xml · derivative · entry 3 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,138 Underlying: Common Stock · 9,750 shares Expires 2025-06-02 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 |
| November 16, 2017 Filed Nov 17, 2017 00:59 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 20,000 | $9.16 | $183,200.00 |
DisclosureSEC source: 0001179110-17-014282 · edgar.xml · nonDerivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,515 Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 00:59 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 9,750 | $2.29 | $22,327.50 |
DisclosureSEC source: 0001179110-17-014282 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,515 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 27, 2017 Filed Oct 30, 2017 18:35 UTC | AXT INC AXTI · Entity 4105 | GrantStock Options · Derivative | 34,203 | $9.50 Strike: $9.50 | $324,928.50 |
DisclosureSEC source: 0001179110-17-013521 · edgar.xml · derivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410,888 Underlying: Common Stock · 34,203 shares Expires 2027-10-27 F2 · shares: 1/4 vested on first year anniversary and 1/48 monthly thereafter. Read SEC document |
| October 27, 2017 Filed Oct 30, 2017 18:35 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 15,870 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-013521 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,765 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 |
| October 28, 2016 Filed Nov 1, 2016 18:06 UTC | AXT INC AXTI · Entity 4105 | GrantStock Options · Derivative | 65,685 | $5.21 Strike: $5.21 | $342,218.85 |
DisclosureSEC source: 0001179110-16-031042 · edgar.xml · derivative · entry 2 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,685 Underlying: Common Stock · 65,685 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 18:06 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 21,895 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-031042 · edgar.xml · nonDerivative · entry 1 FISCHER GARY L · CIK 0001257647 · VP, CFO & Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,895 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.