AXT INC — Director's Dealing 2018

Nov 8, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2018-11-05

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-11-05	Common Stock	A	87020	—	Acquired	1259490	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-11-05	Stock Option (right to buy)	$5.77	A	189990	Acquired	2028-11-05	Common Stock (189990)	Direct

Footnotes

F1: This total includes 569,589 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 346,162 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 343,256 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.