AXT INC — Director's Dealing 2016

Nov 9, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2016-11-08

Reporting Person: Ochrym Robert G (VP Business Development)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-11-08	Common Stock	M	81861	$3.46	Acquired	117861	Direct
2016-11-08	Common Stock	S	81861	$5.07	Disposed	36000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-11-08	Stock Options	$3.46	M	81861	Disposed	2023-11-04	Common Stock (81861)	Direct

Footnotes

F1: Price in column 4 is a weighted average price. Prices actually sold between $2.04 to $4.79.

F2: Price in column 4 is a weighted average price. Prices actually sold between $5.05 to $5.23.

F3: Price in column 2 is a weighted average price. Prices actually sold between $2.04 to $4.79.

F4: Earliest date shown. Exercisable date of multiple lots between 10/26/2013 and 11/4/2017.

F5: Latest date shown. Expriation date of multiple lots between 10/26/2019 and 11/4/2023.