AXT INC — Director's Dealing 2019

Nov 8, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2019-11-06

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-06	Common Stock	A	160330	—	Acquired	1535019	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-06	Stock Option (right to buy)	$3.06	A	337720	Acquired	2029-11-06	Common Stock (337720)	Direct

Footnotes

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

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