Were Jesse Chen’s AXT (AXTI) share sales single trades or multiple transactions?

The Form 4 states both reported sales were weighted average prices across multiple transactions. Shares sold on each day were executed within specified price ranges, and the company notes it will provide the exact trade breakdowns upon request to regulators or security holders.

AXT (AXTI) director Jesse Chen sells 10,133 shares and receives stock grant

Filing Impact

(High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

AXT Inc. director Jesse Chen reported both an equity grant and share sales. On June 4, 2026, Chen received a grant of 754 shares of common stock as an annual equity award, valued using the $105.99 closing price on the grant date and scheduled to vest on May 14, 2027.

Chen also sold 4,000 shares of common stock on June 3, 2026 at a weighted average price of $111.3600, and 6,133 shares on June 4, 2026 at a weighted average price of $108.2788. The filing notes that each sale consisted of multiple trades within price ranges of $106.68 to $114.36 and $105.32 to $112.26, respectively. After these transactions, Chen directly held 94,193 shares of AXT common stock.

Insights

Director made net share sales while retaining a sizable position.

Director Jesse Chen received an annual equity grant of 754 shares tied to AXT’s $105.99 closing price on June 4, 2026, then executed open-market sales totaling 10,133 shares over two days.

The sales occurred at weighted average prices of $111.3600 and $108.2788, with each executed across multiple trades within disclosed price ranges. These are straightforward open-market dispositions with no related derivative exercises or tax-withholding events reported.

Following the transactions, Chen holds 94,193 common shares directly, indicating he retains a meaningful equity stake. The filing characterizes one transaction as an annual grant that vests on May 14, 2027, suggesting routine compensation alongside portfolio rebalancing activity.

Insider Trade Summary

Net Seller: 10,133 shares ($1,109,514)

Net Sell 3 txns

Insider CHEN JESSE

Role null

Sold 10,133 shs ($1.11M)

Type	Security	Shares	Price	Value
Sale	Common Stock	6,133	$108.2788	$664K
Grant/Award	Common Stock	754	$0.00	--
Sale	Common Stock	4,000	$111.36	$445K

Holdings After Transaction: Common Stock — 94,193 shares (Direct, null)

Footnotes (1)

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.68 to $114.36,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 $105.32 to $112.26,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. Represents an annual equity grant of common stock calculated based upon $105.99, which was the closing price of the Issuer's common stock on June 4, 2026 (the "Grant Date"), and vests on May 14, 2027.

Key Figures

Shares sold June 3, 2026: 4,000 shares at $111.3600 Shares sold June 4, 2026: 6,133 shares at $108.2788 Annual equity grant: 754 shares at $105.99 reference price +3 more

6 metrics

Shares sold June 3, 2026 4,000 shares at $111.3600 Open-market sale of AXT common stock

Shares sold June 4, 2026 6,133 shares at $108.2788 Open-market sale of AXT common stock

Annual equity grant 754 shares at $105.99 reference price Director stock grant on June 4, 2026

Post-transaction holdings 94,193 shares Director’s direct AXT common stock position after trades

Price range June 3 sales $106.68–$114.36 Weighted-average sale price range from footnote

Price range June 4 sales $105.32–$112.26 Weighted-average sale price range from footnote

Key Terms

weighted average price, annual equity grant, vests, common stock

4 terms

weighted average price financial

"The price reported in Column 4 is a weighted average price."

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

annual equity grant financial

"Represents an annual equity grant of common stock calculated based upon $105.99"

vests financial

"calculated based upon $105.99 ... and vests on May 14, 2027."

common stock financial

"Represents an annual equity grant of common stock calculated based upon $105.99"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

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Form 4 Insider Transactions: What Each Field Means →

06/05/2026 - 04:23 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^*

CHEN JESSE

(Last)

(First)

(Middle)

4281 TECHNOLOGY DR.

(Street)

FREMONT

CALIFORNIA

94538

(City)

(State)

(Zip)

UNITED STATES

(Country)

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)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/03/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	06/03/2026		S		4,000	D	$111.36⁽¹⁾	100,326	D
Common Stock	06/04/2026		S		6,133	D	$108.2788⁽²⁾	94,193	D
Common Stock	06/04/2026		A		754	A	⁽³⁾	94,947	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)
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 $106.68 to $114.36,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 $105.32 to $112.26,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.

3. Represents an annual equity grant of common stock calculated based upon $105.99, which was the closing price of the Issuer's common stock on June 4, 2026 (the "Grant Date"), and vests on May 14, 2027.

	/s/ Jeff Sensiba, Attorney-in-Fact	06/05/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

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

Director Jesse Chen reported receiving an annual equity grant of 754 AXT common shares and selling a total of 10,133 shares in open-market transactions. These trades occurred on June 3 and June 4, 2026 at disclosed weighted average prices with defined price ranges.

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

Chen sold 4,000 AXT shares at a weighted average price of $111.3600 and 6,133 shares at $108.2788. Footnotes explain these were multiple trades within ranges of $106.68–$114.36 and $105.32–$112.26, respectively, with full breakdowns available on request.

How many AXT (AXTI) shares does Jesse Chen hold after these transactions?

After completing the reported transactions, Jesse Chen directly holds 94,193 shares of AXT common stock. This figure reflects the net effect of the 754-share equity grant and the two open-market sales totaling 10,133 shares disclosed in the Form 4 filing.

What are the details of Jesse Chen’s annual equity grant from AXT (AXTI)?

Chen received an annual equity grant of 754 shares of AXT common stock, calculated using the $105.99 closing price on June 4, 2026. According to the footnote, this grant vests on May 14, 2027, aligning it with the company’s standard director compensation practices.