STOCK TITAN

AXT Inc (NASDAQ: AXTI) director reports restricted stock and equity grants

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Form Type
3

Rhea-AI Filing Summary

AXT Inc director Jia-bin Duh reported equity holdings in the company’s common stock. The report lists an initial award of restricted stock and a prorated annual equity grant of common stock. Both awards vest on May 14, 2027, subject to the director’s continuous service through the vesting date.

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Negative

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Insider Duh Jia-bin
Role Director
Type Security Shares Price Value
holding Common Stock F1 -- -- --
holding Common Stock F2 -- -- --
Holdings After Transaction: Common Stock — 3,167 shares (Direct)
Footnotes (2)
  1. F1. Represents an initial award of restricted stock and vests on May 14, 2027, subject to the Reporting Person's continuous service through the vesting date.
  2. F2. Represents a prorated annual equity grant of common stock and vests on May 14, 2027, subject to the Reporting Person's continuous service through the vesting date.
Vesting date – initial restricted stock award May 14, 2027 Initial restricted stock award vests on May 14, 2027, subject to continuous service
Vesting date – prorated annual equity grant May 14, 2027 Prorated annual equity grant vests on May 14, 2027, subject to continuous service
Reported holding entries 2 Two common stock award holdings reported for the director
restricted stock financial
"Represents an initial award of restricted stock and vests on May 14, 2027"
Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.
prorated annual equity grant financial
"Represents a prorated annual equity grant of common stock and vests on May 14, 2027"
continuous service financial
"subject to the Reporting Person's continuous service through the vesting date"
vesting date financial
"through the vesting date"

AI-generated analysis. How Rhea-AI works. Not financial advice.

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FAQ

What insider ownership did AXTI director Jia-bin Duh report?

Jia-bin Duh reported holdings consisting of an initial restricted stock award and a prorated annual equity grant of common stock. Both awards are scheduled to vest on May 14, 2027, provided the director remains in continuous service through that vesting date.

When do Jia-bin Duh’s AXTI equity awards vest?

Both of Jia-bin Duh’s reported equity awards in AXT Inc vest on May 14, 2027. This vesting date applies to the initial restricted stock award and the prorated annual equity grant, assuming continuous service through that date.

What types of equity awards were reported for AXTI director Jia-bin Duh?

The report identifies two types of equity awards: an initial award of restricted stock and a prorated annual equity grant of common stock. Each of these awards shares the same vesting date of May 14, 2027, contingent on continued service.

What service condition applies to AXTI director Jia-bin Duh’s awards?

Both equity awards for Jia-bin Duh are subject to a continuous service condition. They will vest on May 14, 2027 only if the reporting person continues to serve through that vesting date, as explicitly stated in the award descriptions.

Is the reported AXTI insider activity a buy or sell transaction?

The report describes equity awards and holdings rather than clear buy or sell transactions. It records an initial restricted stock award and a prorated annual equity grant as part of the director’s beneficial ownership in AXT Inc common stock.
SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Duh Jia-bin

(Last)(First)(Middle)
4281 TECHNOLOGY DR.

(Street)
FREMONT CALIFORNIA 94538

(City)(State)(Zip)

UNITED STATES

(Country)
2. Date of Event Requiring Statement (Month/Day/Year)
07/16/2026
3. Issuer Name and Ticker or Trading Symbol
AXT INC [ AXTI ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock2,500(1)D
Common Stock667(2)D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Represents an initial award of restricted stock and vests on May 14, 2027, subject to the Reporting Person's continuous service through the vesting date.
2. Represents a prorated annual equity grant of common stock and vests on May 14, 2027, subject to the Reporting Person's continuous service through the vesting date.
Remarks:
Exhibit 24.1 Power of Attorney (CE)
/s/ Jeff Sensiba, Attorney-in-Fact07/27/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)