AXT INC — Director's Dealing 2020

Nov 13, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2020-11-11

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-11	Common Stock	M	10000	$2.18	Acquired	340495	Direct
2020-11-11	Common Stock	S	10000	$7.04	Disposed	330495	Direct
2020-11-12	Common Stock	M	10000	$2.18	Acquired	340495	Direct
2020-11-12	Common Stock	S	10000	$7.14	Disposed	330495	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-11	Stock Option	$2.18	M	10000	Disposed	2025-11-02	Common Stock (10000)	Direct
2020-11-12	Stock Option	$2.18	M	10000	Disposed	2025-11-02	Common Stock (10000)	Direct

Footnotes

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2020.