AXT (AXTI) CEO-linked family trust sells 134K shares, keeps 2.34M

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

AXT Inc. director and CEO Morris S. Young, through the Young Family Trust, reported multiple recent transactions in AXT common stock. The trust made open-market sales of 8,300 shares on March 6, 2026 at a weighted average price of $39.6462 per share and 125,893 shares on March 9, 2026 at a weighted average price of $36.5124 per share. The trust also disposed of 3,780 shares on March 3, 2026 as a bona fide gift. Following these transactions, the trust’s reported indirect holdings stood at 2,344,065 shares of AXT common stock.

Insider Trade Summary

Net Seller: 134,193 shares ($4,925,719)

Net Sell 3 txns

Insider YOUNG MORRIS S

Role CEO

Sold 134,193 shs ($4.93M)

Type	Security	Shares	Price	Value
Sale	Common Stock	125,893	$36.5124	$4.60M
Sale	Common Stock	8,300	$39.6462	$329K
Gift	Common Stock	3,780	$0.00	--

Holdings After Transaction: Common Stock — 2,344,065 shares (Indirect, By Young Family Trust DTD)

Footnotes (1)

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.10 to $39.85,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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $38.81,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.

Form 4 Insider Transactions: What Each Field Means →

03/10/2026 - 07:21 PM

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

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
X	Officer (give title below)	Other (specify below)
	CEO

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

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	03/03/2026		G		3,780	D	$0	2,478,258	I	By Young Family Trust DTD
Common Stock	03/06/2026		S		8,300	D	$39.6462⁽¹⁾	2,469,958	I	By Young Family Trust DTD
Common Stock	03/09/2026		S		125,893	D	$36.5124⁽²⁾	2,344,065	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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 $39.10 to $39.85,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 $35.00 to $38.81,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	03/10/2026
	** 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.
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 insider transactions did AXT (AXTI) report for CEO Morris S. Young?

AXT reported that a trust associated with CEO Morris S. Young sold AXT common stock in open-market transactions and made a bona fide gift. These moves adjusted the trust’s indirect holdings but left a substantial remaining stake in the company.

How many AXT (AXTI) shares were sold in the latest Form 4 filing?

The Young Family Trust sold a total of 134,193 AXT common shares in open-market transactions. This included 8,300 shares on March 6, 2026 and 125,893 shares on March 9, 2026, according to the Form 4 disclosure.

At what prices were AXT (AXTI) shares sold in the recent insider trades?

The reported sales used weighted average prices. Shares sold on March 6, 2026 averaged $39.6462, while those on March 9, 2026 averaged $36.5124. Footnotes note multiple trades within price ranges around each average.

Did the AXT (AXTI) insider filing include any gifts of shares?

Yes. The Young Family Trust reported a bona fide gift of 3,780 AXT common shares on March 3, 2026. The transaction carried a reported price of $0.0000 per share, reflecting a non-cash transfer rather than a market sale.

How many AXT (AXTI) shares does the Young Family Trust hold after these transactions?

After completing the March 2026 sale and gift transactions, the Young Family Trust’s indirect holdings were reported as 2,344,065 AXT common shares. This figure comes from the share balance shown following the most recent reported sale.

Are the AXT (AXTI) insider stock sales direct or through an entity?

The transactions are reported as indirect holdings “By Young Family Trust DTD.” This means the shares are held and traded through a family trust associated with CEO Morris S. Young, rather than as directly owned stock in his personal name.