AXT INC — Director's Dealing 2014

Jul 9, 2014

SEC Form 4/A — Form 4/A

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2014-07-01

Reporting Person: YOUNG MORRIS S (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-07-01	Common Stock	M	50000	$1.18	Acquired	449951	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-07-01	Stock Options (right to buy)	$1.18	M	50000	Acquired	2014-08-13	Common Stock (50000)	Direct

Footnotes

F1: Shares held directly by the Young Family Trust for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F2: 1/4th of the option vested on August 13, 2005 and 1/48 of the option vested monthly thereafter.