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AXTI Form 4: CFO receives 37,500 restricted stock grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

AXT, Inc. reported an insider equity grant. The CFO received 37,500 shares of restricted stock on October 28, 2025, reported with transaction code “A.” The award was granted under the company’s 2025 Equity Incentive Plan and is described as consideration for past services rendered, exempt under Rule 16b-3 and subject to a restricted stock agreement.

Following this grant, the reporting person beneficially owned 566,204 shares, held directly. This filing reflects a non-cash equity compensation event and does not involve an open-market purchase or sale.

Positive

  • None.

Negative

  • None.
Insider FISCHER GARY L
Role CFO
Type Security Shares Price Value
Grant/Award Common Stock 37,500 $0.00 --
Holdings After Transaction: Common Stock — 566,204 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*
FISCHER GARY L
(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)
CFO
3. Date of Earliest Transaction (Month/Day/Year)
10/28/2025
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 10/28/2025 A 37,500 A (1) 566,204 D
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. Represents a grant of restricted stock under the Issuer's 2025 Equity Incentive Plan on October 28, 2025 (the "Grant Date"), in a transaction exempt under Rule 16b-3, in consideration for past services rendered by the Reporting Person. The grant is subject to the terms of a restricted stock agreement.
/S/Jeff Sensiba, Attorney-in-Fact 10/30/2025
** 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) disclose in this Form 4?

A grant of 37,500 restricted shares to the CFO on October 28, 2025 under the 2025 Equity Incentive Plan.

What is the insider’s role at AXT (AXTI)?

The reporting person is an Officer (CFO).

How many AXTI shares does the insider own after the grant?

Beneficial ownership is 566,204 shares, held directly.

Was this an open-market transaction for AXTI stock?

No. It was a restricted stock grant, not a market purchase or sale.

Under what rule was the AXTI grant reported as exempt?

The transaction is noted as exempt under Rule 16b-3.

What agreement governs the AXTI restricted stock grant?

It is subject to a restricted stock agreement as part of the grant terms.

What plan authorized the AXTI equity grant?

The grant was made under AXT’s 2025 Equity Incentive Plan.