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AXT, Inc. files Form 144 for proposed share sales

AXT, Inc. submitted notices under Section 144 reporting proposed sales of common stock tied to prior stock option exercises and restricted stock awards.

Accepted by SEC EDGAR
Filing Impact
(Neutral)
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Form Type
144

Rhea-AI Filing Summary

AXT, Inc. submitted notices under Section 144 reporting proposed sales of common stock tied to prior stock option exercises and restricted stock awards. The filing lists multiple planned dispositions with individual lots and dates, including examples such as 62,560 shares (11/06/2019) and 42,300 shares (10/28/2016).

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does AXTI's Form 144 disclose?
It discloses proposed sales of common stock by holders from option exercises and restricted awards. The filing lists numerous lots and dates tied to exercises and restricted stock awards, specifying share counts for each planned disposition.

How many shares are shown as examples in the AXTI excerpt?
Examples include individual lots such as 62,560 shares and 42,300 shares. Those specific counts appear with dates 11/06/2019 and 10/28/2016, respectively, among many other listed lots.

Do the Form 144 entries show the reason for the sales for AXTI?
The entries identify the security source (stock option exercise or restricted stock award). Each row pairs a source type and a date with a share count, but no additional purpose statements appear in the excerpt.

Are aggregate proceeds or totals provided in the AXTI excerpt?
No aggregate proceeds or a single total share amount are presented in the excerpt. The content lists multiple individual lots and dates with share counts but does not sum them or state aggregate proceeds.

What types of securities are listed in AXTI's filing?
Only Common stock is listed, tied to stock option exercises and restricted stock awards. Each listed transaction line in the excerpt is labeled "Common" and references exercise or award dates and share amounts.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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144: Filer Information

144: Issuer Information

144: Securities Information



Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold


* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.



Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR

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