SEC Form 4 · accession 0001437749-26-019464

AXT INC · AXTI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO · Director

Period of report

Jun 1, 2026

Accepted (ET)

Jun 3, 2026 · 6:39 pm EDT

Rule 10b5-1 plan

box not checked

Issuer CIK

0001051627

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Jun 1, 2026	M	73,897	$5.21	A	2,335,225	D
Common Stock^F2	Jun 1, 2026	S	73,897	$112.3907	D	2,261,328	D
Common Stock^F3	Jun 2, 2026	M	11,806	$5.21	A	2,273,134	D
Common Stock^F4,F5	Jun 2, 2026	S	123,601	$113.3291	D	2,149,533	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F1	$5.21	Jun 1, 2026	M	73,897	D	Oct 28, 2017	Oct 28, 2026	Common Stock	73,897	478,852	D
Stock Option (Right to Buy)^F3	$5.21	Jun 2, 2026	M	11,806	D	Oct 28, 2017	Oct 28, 2026	Common Stock	11,806	467,046	D

F1Represents the exercise of options which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. All of the shares subject to this option are fully vested.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions pursuant to the cashless exercise/same-say sale of the options reported in footnote 1 at prices ranging from $110.00 to $115.64,inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.
F3Represents the exercise of options which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. All of the shares subject to this option are fully vested.
F4Of the total shares sold, 11,806 shares were sold pursuant to the cashless exercise/same-say sale of the options reported in footnote 3.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.70 to $121.48,inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.