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: FISCHER GARY L (VP, CFO & Corporate Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-11-05	Common Stock	A	25420	—	Acquired	89935	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-11-05	Stock Options	$5.77	A	55500	Acquired	2028-11-05	Common Stock (55500)	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