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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-06	Common Stock	A	43940	—	Acquired	133875	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-06	Stock Options	$3.06	A	92440	Acquired	2029-11-06	Common Stock (92440)	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