AXT (AXTI) CEO granted 100,000 restricted shares; holds 2,549,490

AXT Inc. (AXTI) disclosed that its CEO acquired 100,000 shares of common stock on 10/28/2025 through a restricted stock grant.

Rhea-AI Filing Summary

AXT Inc. (AXTI) disclosed that its CEO acquired 100,000 shares of common stock on 10/28/2025 through a restricted stock grant. The award was made under the company’s 2025 Equity Incentive Plan, is exempt under Rule 16b-3, and was granted in consideration for past services, subject to a restricted stock agreement.

Following the transaction, the CEO beneficially owned 2,549,490 shares, held directly.

Insights

Securities compliance analyst

Routine Form 4 grant; administrative and neutral.

The filing records a restricted stock award of 100,000 shares to the CEO on 10/28/2025. It is described as exempt under Rule 16b-3, indicating a standard, board-approved compensation action under the 2025 Equity Incentive Plan and not an open-market purchase.

The grant was issued for past services and is subject to a restricted stock agreement, which typically includes vesting and transfer restrictions. The CEO’s beneficial ownership after the grant is 2,549,490 shares, reported as directly held. Actual market impact, if any, depends on grant terms and future vesting, which are not detailed in this excerpt.

Insider Trade Summary

Grant/Award: 100,000 shares

Grant/Award 1 txn

Insider YOUNG MORRIS S

Role CEO

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	100,000	$0.00	$0.00

Holdings After Transaction: Common Stock — 2,549,490 shares (Direct)

Footnotes (1)

1. F1. 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did AXT (AXTI) report in this Form 4?

A restricted stock grant of 100,000 shares to the CEO on 10/28/2025 under the 2025 Equity Incentive Plan.

How many shares does the CEO beneficially own after the transaction?

The CEO beneficially owned 2,549,490 shares, held directly.

What was the transaction code reported?

Transaction code A, indicating an acquisition of securities.

Was the grant exempt under Rule 16b-3?

Yes. The filing states the transaction is exempt under Rule 16b-3.

What is the nature of the award to the CEO?

A restricted stock grant for past services, subject to a restricted stock agreement.

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

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Accepted by SEC EDGAR 10/30/2025 - 01:59 PM Learn about SEC filing dates

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)
10/28/2025

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		100,000	A	(1)	2,549,490	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.
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