AXT director sells 14,086 shares of common stock

AXT Inc. director Jesse Chen reported selling AXT common stock in two open-market transactions.

Accepted by SEC EDGAR 03/16/2026 - 02:32 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

AXT Inc. director Jesse Chen reported selling AXT common stock in two open-market transactions. On March 12, 2026, he sold 6,003 shares at a weighted-average price of $48.9541 per share, leaving 117,609 shares held directly after that trade.

On March 13, 2026, he sold an additional 8,083 shares at a weighted-average price of $50.2497 per share, resulting in 109,526 shares of AXT common stock held directly following the transactions. The filing notes both prices are weighted averages across multiple trades within disclosed price ranges.

Insider Trade Summary

Net Seller: 14,086 shares

Net Sell 2 txns

Insider CHEN JESSE

Role Director

Sold 14,086 shs ($700K)

Share of Position Sold 11.4%

Type	Security	Shares	Price	Value
Sale	Common Stock	8,083	$50.2497	$406K
Sale	Common Stock	6,003	$48.9541	$294K

Holdings After Transaction: Common Stock — 109,526 shares (Direct)

Holdings Before and After: Common Stock, 123,612 to 109,526 shares (Direct)

Other Insiders: 3 other insiders reported open-market sales of this stock in the 30 days up to this filing.

Footnotes (2)

1. F1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.72 to $49.825,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.
2. F2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.39 to $51.38,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.

FAQ

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What insider transactions did AXT (AXTI) director Jesse Chen report?

AXT director Jesse Chen reported two open-market sales of common stock. He sold 6,003 shares on March 12, 2026, and 8,083 shares on March 13, 2026, for a total of 14,086 shares sold across both days.

How many AXT (AXTI) shares does Jesse Chen hold after these Form 4 sales?

After the reported transactions, Jesse Chen holds 109,526 AXT common shares directly. This figure reflects his position following the March 13, 2026 open-market sale of 8,083 shares at a weighted-average price of $50.2497 per share.

At what prices did Jesse Chen sell AXT (AXTI) shares in this Form 4 filing?

The filing shows weighted-average sale prices. On March 12, 2026, 6,003 shares were sold at $48.9541 per share, within a range of $46.72 to $49.825. On March 13, 2026, 8,083 shares were sold at $50.2497 per share, ranging from $48.39 to $51.38.

What total number of AXT (AXTI) shares did Jesse Chen sell in this Form 4?

Across both reported days, Jesse Chen sold 14,086 AXT common shares. The Form 4 transaction summary aggregates 6,003 shares sold on March 12, 2026 and 8,083 shares sold on March 13, 2026 as open-market transactions.

Are Jesse Chen’s AXT (AXTI) stock sales single trades or multiple transactions?

Each reported sale is a weighted-average price across multiple trades. The filing notes the March 12 and March 13, 2026 sales occurred in numerous transactions within specified price ranges, and detailed trade-by-trade data is available upon request.

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

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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^*

CHEN JESSE

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
03/12/2026

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	03/12/2026		S		6,003	D	$48.9541(1)	117,609	D
Common Stock	03/13/2026		S		8,083	D	$50.2497(2)	109,526	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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.72 to $49.825,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.

2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.39 to $51.38,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	03/16/2026
	** 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.
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