SEC Form 4 · accession 0001437749-26-019750
AXT INC · AXTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jesse Chen
Director
Period of report
Jun 3, 2026
Accepted (ET)
Jun 5, 2026 · 4:23 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 3, 2026 | S | 4,000 | $111.36 | D | 100,326 | D | |
| Common StockF2 | Jun 4, 2026 | S | 6,133 | $108.2788 | D | 94,193 | D | |
| Common StockF3 | Jun 4, 2026 | A | 754 | — | A | 94,947 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.68 to $114.36,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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.32 to $112.26,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 an annual equity grant of common stock calculated based upon $105.99, which was the closing price of the Issuer's common stock on June 4, 2026 (the "Grant Date"), and vests on May 14, 2027.