AXT INC — Director's Dealing 2021

Apr 7, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXT INC (AXTI)
CIK: 0001051627
Period of Report: 2021-04-06

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-04-06	Common Stock	S	40000	$12.25	Disposed	1730589	Direct

Footnotes

F1: This total includes 1,349,952 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Persons previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos