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  4. [Form 4] AXT INC Insider Trading Activity

AXTI insider update: CEO reports sale at $8.6481 and share gift

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

AXT, Inc. (AXTI) reported insider activity by its CEO on Form 4. On 10/31/2025, the reporting person made a gift of 30,000 common shares at $0. Following this gift, 2,519,490 shares were beneficially owned directly.

On 11/03/2025, the reporting person sold 80,000 common shares at a weighted average price of $8.6481, with individual trades ranging from $8.38 to $9.16. Following this sale, 2,439,490 shares were beneficially owned indirectly by the Young Family Trust.

Positive

  • None.

Negative

  • None.
Insider YOUNG MORRIS S
Role CEO
Sold 80,000 shs ($692K)
Type Security Shares Price Value
Sale Common Stock 80,000 $8.6481 $692K
Gift Common Stock 30,000 $0.00 --
Holdings After Transaction: Common Stock — 2,439,490 shares (Indirect, BY YOUNG FAMILY TRUST DTD); Common Stock — 2,519,490 shares (Direct)
Footnotes (1)
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
YOUNG MORRIS S
(Last) (First) (Middle)
4281 TECHNOLOGY DR.
(Street)
FREMONT CA 94538
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AXT INC [ AXTI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CEO
3. Date of Earliest Transaction (Month/Day/Year)
10/31/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/31/2025 G 30,000 D $0 2,519,490 D
Common Stock 11/03/2025 S 80,000 D $8.6481(1) 2,439,490 I BY YOUNG FAMILY TRUST DTD
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.38 to $9.16, 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.
/s/ Jeff Sensiba, Attorney-in-Fact 11/04/2025
** Signature of Reporting Person Date
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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What did AXT (AXTI)'s CEO report on Form 4?

A gift of 30,000 shares on 10/31/2025 and a sale of 80,000 shares on 11/03/2025.

At what price were the AXTI shares sold?

The sale had a weighted average price of $8.6481, with trades from $8.38 to $9.16.

How many AXTI shares did the CEO hold after the gift?

After the gift, the reporting person held 2,519,490 shares directly.

How many AXTI shares were held after the sale?

After the sale, 2,439,490 shares were held indirectly by the Young Family Trust.

What is the reporting person’s role at AXT?

The reporting person is an Officer (CEO) of AXT, Inc.

Does the filing mention a Rule 10b5-1 plan?

The form includes the standard checkbox reference, but no selection is indicated in the provided excerpt.