AXT insider Form 4: 10,280 shares acquired; 528,704 owned

Rhea-AI Filing Summary

AXT Inc (AXTI) reported an insider transaction by its CFO. On 10/20/2025, the officer exercised stock options for 10,280 shares at $2.18 per share (transaction code M), adding the shares to direct holdings.

After the transaction, the officer directly beneficially owned 528,704 common shares. Derivative securities beneficially owned following the event were 247,828 stock options originally granted on 11/02/2015 and expiring on 11/02/2025.

Insider Trade Summary

Net Buyer: 10,280 shares

Net Buy 2 txns

Insider FISCHER GARY L

Role CFO

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	10,280	$0.00	$0.00
Exercise	Common Stock	10,280	$2.18	$22K

Holdings After Transaction: Stock Option (Right to Buy) — 247,828 shares (Direct); Common Stock — 528,704 shares (Direct)

Footnotes (2)

1. F1. Exercise of restricted stock awards which were originally granted on 11/2/2015 and became first exercisable on 11/2/2016.
2. F2. Exercise of restricted stock awards which were originally granted on 11/2/2015 and became first exercisable on 11/2/2016.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 10/22/2025 - 04:55 PM Learn about SEC filing dates

FAQ

What insider transaction did AXT (AXTI) disclose?

The CFO exercised stock options for 10,280 shares at $2.18 on 10/20/2025 (code M).

How many AXTI shares does the officer own after the transaction?

Direct beneficial ownership is 528,704 common shares following the transaction.

What was the exercise price and number of options exercised?

The officer exercised 10,280 options at an exercise price of $2.18 per share.

How many derivative securities remain after the transaction?

The filing shows 247,828 stock options beneficially owned after the reported transaction.

What are the key dates for the derivative security in the Form 4?

The options were originally granted on 11/02/2015 and expire on 11/02/2025.

What was the transaction code used in the Form 4?

The transaction code was M, indicating an option exercise.

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)
10/20/2025

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	10/20/2025		M		10,280(1)	A	$2.18	528,704	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
Stock Option (Right to Buy)	$2.18	10/20/2025		M			10,280(2)	11/02/2016	11/02/2025	Common Stock	10,280	$0	247,828	D

Explanation of Responses:

1. Exercise of restricted stock awards which were originally granted on 11/2/2015 and became first exercisable on 11/2/2016.

2. Exercise of restricted stock awards which were originally granted on 11/2/2015 and became first exercisable on 11/2/2016.

	/s/ Jeff Sensiba, Attorney-in-Fact	10/22/2025
	** 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.