AXT INC — Director's Dealing 2017

Nov 8, 2017

SEC Form 4/A — Form 4/A

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2017-11-07

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-11-07	Common Stock	A	50000	$2.18	Acquired	1231970	Direct
2017-11-07	Common Stock	S	50000	$8.86	Disposed	1181970	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-11-07	Stock Option (right to buy)	$2.18	D	50000	Acquired	2025-11-02	Common Stock (50000)	Direct

Footnotes

F1: This total includes 361,487 shares of common stock held by the Young Family Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee, and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Person's previous Form 4 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.