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AXT INC Director's Dealing 2016

Dec 1, 2016

33597_dirs_2016-12-01_d889615d-6c84-417e-93f7-01e8898fb0bb.zip

Director's Dealing

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SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2016-11-29

Reporting Person: Ochrym Robert G (VP Business Development)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-11-29	Common Stock	M	687	$2.91	Acquired	36687	Direct
2016-11-29	Common Stock	M	7752	$2.47	Acquired	44439	Direct
2016-11-29	Common Stock	S	8439	$5.00	Disposed	36000	Direct
2016-11-30	Common Stock	M	4248	$2.47	Acquired	40248	Direct
2016-11-30	Common Stock	M	5250	$2.18	Acquired	45498	Direct
2016-11-30	Common Stock	S	9498	$4.95	Disposed	36000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-11-29	Stock Option	$2.91	M	687	Disposed	2022-11-05	Common Stock (687)	Direct
2016-11-29	Stock Option	$2.47	M	7752	Disposed	2024-11-03	Common Stock (7752)	Direct
2016-11-30	Stock Option	$2.47	M	4248	Disposed	2024-11-03	Common Stock (4248)	Direct
2016-11-30	Stock Option	$2.18	M	5250	Disposed	2025-11-02	Common Stock (5250)	Direct