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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 05-Jan-23 5:30 PM View:  | AXT Inc. (AXTI) | 03-Jan-23 | Grant | 18,306 | -- | -- | 10% 183.92K to 202.22K | |
| 05-Jan-22 4:41 PM View: | AXT Inc. (AXTI) | 03-Jan-22 | Grant | 1,436 | -- | -- | < 1% 182.48K to 183.92K | |
| 03-Jan-22 1:53 PM View: | AXT Inc. (AXTI) | 29-Dec-21 | Grant | 7,827 | -- | -- | 4% 174.65K to 182.48K | |
| 24-May-21 6:01 PM View: | AXT Inc. (AXTI) | 21-May-21 | Market Sale | 10,000 | $9.86 | $98,600.00 | (5%) 184.65K to 174.65K | |
| 24-May-21 6:01 PM View: | AXT Inc. (AXTI) | 20-May-21 | Grant | 6,726 | -- | -- | 4% 177.93K to 184.65K | |
| 22-May-20 6:53 PM View: | AXT Inc. (AXTI) | 21-May-20 | Grant | 10,909 | -- | -- | 7% 167.02K to 177.93K | |
| 21-Aug-18 7:02 PM View: | AXT Inc. (AXTI) | 21-Aug-18 | Option Exercise | 3,984 | $7.45 | $29,687.20 | (3%) 157.55K to 153.57K | 41% |
| 24-May-18 8:40 PM View: | AXT Inc. (AXTI) | 24-May-18 | Grant | 7,594 | -- | -- | 5% 149.96K to 157.55K | |
| 24-May-19 12:09 PM View: | AXT Inc. (AXTI) | 23-May-18 | Grant | 13,452 | -- | -- | 9% 153.57K to 167.02K | |
| 01-May-18 6:45 PM View: | AXT Inc. (AXTI) | 01-May-18 | Option Exercise | 4,000 | $6.12 | $24,480.00 | (3%) 153.96K to 149.96K | 28% |
| 16-Nov-17 7:58 PM View: | AXT Inc. (AXTI) | 16-Nov-17 | Option Exercise | 4,000 | $9.15 | $36,600.00 | (3%) 157.96K to 153.96K | 52% |
| 26-May-17 8:35 PM View: | AXT Inc. (AXTI) | 25-May-17 | Grant | 8,823 | -- | -- | 6% 149.13K to 157.96K | |
| 18-May-17 12:47 PM View: | AXT Inc. (AXTI) | 16-May-17 | Market Sale | 5,000 | $7.27 | $36,350.00 | (3%) 154.13K to 149.13K | 39% |
| 08-Nov-16 6:25 PM View: | AXT Inc. (AXTI) | 08-Nov-16 | Market Sale | 5,000 | $5.21 | $26,050.00 | (3%) 159.13K to 154.13K | 15% |
| 31-May-16 2:12 PM View: | AXT Inc. (AXTI) | 26-May-16 | Grant | 16,260 | -- | -- | 11% 142.87K to 159.13K | |
| 07-Dec-15 2:06 PM View: | AXT Inc. (AXTI) | 02-Nov-15 | Grant | 13,761 | -- | -- | 11% 129.11K to 142.87K | |
| 29-May-15 1:46 PM View: | AXT Inc. (AXTI) | 27-May-15 | Grant | 11,952 | -- | -- | 10% 117.16K to 129.11K | |
| 14-May-14 1:48 PM View: | AXT Inc. (AXTI) | 13-May-14 | Grant | 13,761 | -- | -- | 13% 103.4K to 117.16K | |
| 14-May-13 5:24 PM View: | AXT Inc. (AXTI) | 14-May-13 | Grant | 10,909 | -- | -- | 12% 92.49K to 103.4K | |
| 28-Nov-12 2:56 PM View: | AXT Inc. (AXTI) | 28-Nov-12 | Option Exercise | 4,000 | $1.38 | $5,520.00 | 4% 92.49K to 96.49K | |
| 28-Nov-12 2:56 PM View: | AXT Inc. (AXTI) | 28-Nov-12 | Market Option Sale | 4,000 | $2.81 | $11,242.00 | (4%) 96.49K to 92.49K | (57%) |
| 15-May-12 7:14 PM View: | AXT Inc. (AXTI) | 15-May-12 | Grant | 7,692 | -- | -- | 9% 84.8K to 92.49K | |
| 01-Aug-11 8:37 PM View: | AXT Inc. (AXTI) | 01-Aug-11 | Option Exercise | 6,000 | $1.38 | $8,280.00 | 7% 84.8K to 90.8K | |
| 01-Aug-11 8:37 PM View: | AXT Inc. (AXTI) | 01-Aug-11 | Market Option Sale | 6,000 | $9.07 | $54,410.00 | (7%) 90.8K to 84.8K | 51% |
| 25-May-11 2:51 PM View: | AXT Inc. (AXTI) | 23-May-11 | Grant | 4,137 | -- | -- | 5% 80.66K to 84.8K | |
| 08-Apr-10 12:49 PM View: | AXT Inc. (AXTI) | 07-Apr-10 | Grant | 9,009 | $3.33 | $30,000.00 | 13% 71.65K to 80.66K | 33% |
| 13-Aug-09 8:13 PM View: | Oplink Communications Inc. (OPLKE.OB) | 12-Aug-09 | Grant | 4,000 | -- | -- | 44% 9.0K to 13.0K | |
| 13-Aug-09 8:13 PM View: | Oplink Communications Inc. (OPLKE.OB) | 12-Aug-09 | Market Sale | 4,000 | $13.94 | $55,760.00 | (31%) 13.0K to 9.0K | (42%) |
| 28-Apr-09 5:21 PM View: | AXT Inc. (AXTI) | 27-Apr-09 | Grant | 22,727 | -- | -- | 46% 48.93K to 71.65K | |
| 03-Nov-08 6:03 PM View: | AXT Inc. (AXTI) | 31-Oct-08 | Grant | 15,723 | -- | -- | 47% 33.2K to 48.93K | |
| 20-Aug-08 6:54 PM View: | Oplink Communications Inc. (OPLKE.OB) | 18-Aug-08 | Grant | 4,000 | -- | -- | 80% 5.0K to 9.0K | |
| 31-Aug-07 6:34 PM View: | Oplink Communications Inc. (OPLKE.OB) | 31-Aug-07 | Market Purchase | 1,000 | $12.92 | $12,920.00 | 25% 4.0K to 5.0K | (17%) |
| 27-Aug-07 7:34 PM View: | Oplink Communications Inc. (OPLKE.OB) | 23-Aug-07 | Grant | 4,000 | -- | -- | 100% 0 to 4.0K | |
| 06-Aug-07 6:21 PM View: | AXT Inc. (AXTI) | 06-Aug-07 | Grant | 3,218 | -- | -- | 11% 29.98K to 33.2K | |
| 31-May-07 10:00 PM View: | AXT Inc. (AXTI) | 30-May-07 | Grant | 2,652 | -- | -- | 10% 27.33K to 29.98K | |
| 11-May-07 3:53 PM View: | AXT Inc. (AXTI) | 11-May-07 | Market Purchase | 3,000 | $3.85 | $11,550.00 | 12% 24.33K to 27.33K | 3% |
| 25-Aug-05 7:10 PM View: | AXT Inc. (AXTI) | 25-Aug-05 | Grant | 8,000 | $1.19 | $9,483.00 | 49% 16.33K to 24.33K | 235% |
| 11-May-05 4:31 PM View: | AXT Inc. (AXTI) | 11-May-05 | Grant | 8,000 | $1.25 | $10,000.00 | 96% 8.33K to 16.33K | 217% |
| 10-Nov-04 12:51 PM View: | Oplink Communications Inc. (OPLKE.OB) | 08-Nov-04 | Market Sale | 10,000 | $2.06 | $20,550.00 | (91%) 11.0K to 1.0K | 25% |
| 20-Aug-04 7:00 PM View: | Oplink Communications Inc. (OPLKE.OB) | 20-Aug-04 | Market Sale | 20,000 | $1.60 | $32,020.00 | (100%) 20.0K to 0 | 4% |
| 27-Oct-03 10:00 PM View: | Oplink Communications Inc. (OPLKE.OB) | 27-Oct-03 | Market Sale | 25,000 | $2.44 | $60,945.00 | (100%) 25.0K to 0 | 37% |