AXT Inc. (AXTI)

INFORMATION TECHNOLOGY: SEMICONDUCTORS
SIC: SEMICONDUCTORS & RELATED DEVICES

4281 TECHNOLOGY DR. FREMONT, CA 94538

AXT Inc. designs, develops, makes and distributes high-performance compound semiconductor substrates. The company's substrate products are used primarily in lighting display applications, wireless communications and fiber optic communications.

Data as of 2020-09-12
Market Cap201.706 Million Shares Outstanding40.997 Million Avg 30-day Volume495.861 Thousand
P/E Ratio Dividend Yield EPS-0.07
Price/Sales2.487 Price cash flow ratio23.3 Price free cash flow ratio-18.4
Book Value4.51 Price to Tangible Book1.13 Alpha0.01
Short Interest Ratio % Short Interest to Float R-squared0.247805
BETA2.03106 52-week High/Low6.2 / 1.85 Stddev0.174332
View SEC Filings from AXTI instead.
Q2 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 2 1 100.0% 0 (0.0%) 0 (0.0%)
Funds Holding: 96 80 20.0% 37 (2.41%) 24 (1.53%) 54.17%
13F shares: 26.12 Million 24.319 Million 7.4% 12.751 Million 11.009 Million 15.82%
% Ownership 63.9481 59.5675 7.35% 31.2163 26.9658 15.76%
New Positions: 27 9 200.0% 15 4 275.0%
Increased Positions 29 28 3.57% 12 12 0.0%
Closed Positions 8 15 -46.67% 2 7 -71.43%
Reduced Positions 28 28 0.0% 8 6 33.33%
Total Calls 30.13 Thousand 23.897 Thousand 26.08% 26.8 Thousand 12 Thousand 123.33%
Total Puts 25 14.6 Thousand -99.83% 14.6 Thousand
PUT/CALL Ratio 0.0 0.61 -100.0% 0.0 1.22 -100.0%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding AXTI (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding AXTI BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

10 Thousand total shares from 2 transactions

Exercise Derivative Conversion (M)

120 Thousand total shares from 1 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

YOUNG MORRIS S CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
1,803,169 2020-09-16 7

CHEN JESSE

  • Director
133,056 2020-05-29 2

CHANG DAVID C

  • Director
183,962 2020-05-28 2

LEBLANC LEONARD J

  • Director
177,928 2020-05-21 1

CHRISTINE RUSSELL

  • Director
17,088 2020-05-21 3

FISCHER GARY L VP, CFO & CORPORATE SECRETARY

  • Officer
233,875 2020-02-25 2

UNI-PIXEL

  • Director
0 2019-12-23 2

OCHRYM ROBERT G VP BUSINESS DEVELOPMENT

  • Officer
10,750 2017-11-16 0

LIN WILSON WEICHENG CHIEF OPERATING OFFICER

  • Officer
0 2017-08-22 0

HOU HONG Q CHIEF OPERATING OFFICER

  • Officer
310,000 2015-11-02 0

ZHANG DAVIS

  • (FORMER) PRESIDENT, JV OPS
No longer subject to file 2015-08-31 0

PAI NAI-YU

  • Director
42,909 2014-05-13 0

LOW RAYMOND ANTHONY CHIEF FINANCIAL OFFICER

  • Officer
56,000 2012-11-05 0

CERILLI JOHN J VP GLOBAL SALES & MARKETING

  • Officer
4,400 2010-08-03 0

YIN PHILIP C S CHAIRMAN & CEO

  • Officer
  • Director
20,500 2008-11-20 0

CHEUNG WILSON WAI-SHUN CHIEF FINANCIAL OFFICER

  • Officer
1,000 2008-11-10 0

LIN MINSHENG CHIEF OPERATING OFFICER

  • Officer
0 2008-10-31 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

YOUNG MORRIS S - Director - Officer CHIEF EXECUTIVE OFFICER

2020-09-17 14:18:14 -0400 2020-09-16 S 5,000 $6.01 d 1,803,169 direct -4.9296 -13.3803 0.0 1 -13.3803 6

YOUNG MORRIS S - Director - Officer CHIEF EXECUTIVE OFFICER

2020-09-04 14:07:54 -0400 2020-09-03 M 120,000 $2.18 a 1,808,169 direct -3.0126 -2.8183 0.0 1 -4.3732 5

YOUNG MORRIS S - Director - Officer CHIEF EXECUTIVE OFFICER

2020-09-04 14:07:54 -0400 2020-09-03 M 120,000 d 1,022,754 direct

YOUNG MORRIS S - Director - Officer CHIEF EXECUTIVE OFFICER

2020-08-27 18:51:57 -0400 2020-08-26 S 5,000 $6.00 d 1,724,019 direct 1.2567 -7.6302 8.6176 3 -7.6302 6

YOUNG MORRIS S - Director - Officer CHIEF EXECUTIVE OFFICER

2020-08-27 18:51:57 -0400 2020-08-02 H 110,000 d 1,142,754 direct

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Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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