AXT INC — Director's Dealing 2015

Nov 4, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2015-11-02

Reporting Person: HOU HONG Q (Chief Operating Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-11-02	Common Stock	A	10000	—	Acquired	310000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-11-02	Stock Options	$2.18	A	30000	Acquired	2025-11-02	common stock (30000)	Direct

Footnotes

F1: Represents grant of restricted stock awards which vest in four equal annual installments on each anniversary of the date of grant.

F2: 1/4 vested on first year anniversary and 1/48 monthly thereafter.