AXT INC — Director's Dealing 2020

Oct 5, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2020-10-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-01	Common Stock	M	130	$2.29	Acquired	200589	Direct
2020-10-01	Common Stock	S	130	$6.44	Disposed	200459	Direct
2020-10-02	Common Stock	M	19870	$2.29	Acquired	220329	Direct
2020-10-02	Common Stock	S	19870	$6.44	Disposed	200459	Direct
2020-10-02	Common Stock	M	100	$2.29	Acquired	200559	Direct
2020-10-02	Common Stock	S	100	$6.54	Disposed	200459	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-01	Stock Options	$2.29	M	130	Disposed	2024-06-02	Common Stock (130)	Direct
2020-10-02	Stock Options	$2.29	M	19970	Disposed	2024-06-02	Common Stock (19970)	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.