AXT INC — Director's Dealing 2016

Nov 1, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2016-10-28

Reporting Person: Ochrym Robert G (VP Business Development)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-10-28	Common Stock	A	7000	—	Acquired	36000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-10-28	Stock Options	$5.21	A	21000	Acquired	2026-10-28	Common Stock (21000)	Direct

Footnotes

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

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