Charles Schwab Corp. files Form 144 listing restricted stock grants

Charles Schwab Corp. submitted a Form 144 notice describing proposed sales of specified restricted stock grants and disclosing recent affiliate sales.

Accepted by SEC EDGAR 03/03/2026 - 12:20 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Charles Schwab Corp. submitted a Form 144 notice describing proposed sales of specified restricted stock grants and disclosing recent affiliate sales. The filing lists restricted grants dated 07/01/2015 (10,787 shares), 06/03/2016 (8,223), 05/03/2017 (13,761), 06/09/2017 (24,831), and 06/06/2018 (12,807).

The filing also reports securities sold during the past three months by David C. Chang: 25,000 shares on 12/09/2025 for $371,012 and 25,000 shares on 12/02/2025 for $308,361. The notice records Nasdaq listing and an aggregate figure line showing 60,000 and 2,779,200.00 in the header data.

Insights

Equity Capital Markets Attorney

Form 144 lists proposed affiliate sales of restricted stock grants and recent insider dispositions.

The filing itemizes multiple restricted stock grants by grant date and share count, which are presented as securities to be sold. The notice also discloses two recent dispositions by David C. Chang totaling 50,000 shares with gross proceeds of $679,373.

These entries are procedural disclosures under Rule 144. Timing and methods of any future sales depend on compliance with Rule 144 conditions and market mechanics; subsequent filings may report completed transactions or alternative sale methods.

FAQ

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

What does AXTI's Form 144 disclose about restricted stock grants?

The filing lists restricted stock grants with grant dates and share counts, including 10,787 shares (07/01/2015) and 24,831 shares (06/09/2017). These items are recorded as securities to be sold by the issuer or affiliates.

How many shares did David C. Chang sell recently according to the filing?

The filing reports two dispositions by David C. Chang totaling 50,000 shares in December 2025. Sales were 12/02/2025 and 12/09/2025, with aggregate proceeds of $679,373 shown in the notice.

Does the Form 144 state how future sales will be executed?

The notice lists the securities proposed for sale but does not specify sale mechanics in the excerpt. Execution methods and timing are conditional on Rule 144 compliance and any applicable trading plans; related executions are typically reported in subsequent filings.

Are the grant dates and share counts in the filing definitive?

The filing records specific grant dates and share counts for each restricted grant, such as 8,223 shares on 06/03/2016. These figures are presented as the securities identified for potential sale in the Form 144 notice.

What listing information appears on this Form 144 for the securities?

The excerpt shows a Nasdaq listing line and header data including figures such as 60,000 and 2,779,200.00. These header items appear in the filing metadata and are associated with the securities information section.

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

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001188184
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	AXT INC
SEC File Number	000-24085
Address of Issuer	4281 TECHNOLOGY DR. FREMONT CALIFORNIA 94538
Phone	510.438.4700
Name of Person for Whose Account the Securities are To Be Sold	CHANG DAVID C
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab Corp. 3000 Schwab Way Westlake TX 76262	60000	2779200.00	46623170	03/03/2026	NASDAQ

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

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	07/01/2015	Restricted Stock Grants	Issuer			10787	07/01/2015	N/A
Common	06/03/2016	Restricted Stock Grants	Issuer			8223	06/03/2016	N/A
Common	05/03/2017	Restricted Stock Grants	issuer			13761	05/03/2017	N/A
Common	06/09/2017	Restricted Stock Grants	Issuer			24831	06/06/2017	N/A
Common	06/06/2018	Restricted Stock Grants	Issuer			12807	06/06/2018	N/A

* 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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
David C Chang 4281 Technology Drive Fremont CA 94538	Common	12/09/2025	25000	371012.00
David C Chang 4281 Technology Drive Fremont CA 94538	Common	12/02/2025	25000	308361.00

144: Remarks and Signature

Remarks	These shares are being sold for the DAVID C.CHANG REVOCABLE TRUST
Date of Notice	03/03/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	DAVID C CHANG
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)