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[Form 4] AXT INC Insider Trading Activity

Filing Impact
(Very High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

AXT Inc CFO Gary L. Fischer reported a series of stock option exercises and related share acquisitions in AXT Inc common stock. On February 26, 2026, he exercised multiple fully vested stock options that were originally granted between 2016 and 2019 and had become exercisable between 2017 and 2020, converting them into common shares at preset exercise prices. Following these transactions, Fischer directly owned 685,543 shares of AXT Inc common stock.

Positive

  • None.

Negative

  • None.
Insider FISCHER GARY L
Role CFO
Type Security Shares Price Value
Exercise Stock Option (Right to Buy) 65,685 $0.00 $0.00
Exercise Stock Option (Right to Buy) 34,203 $0.00 $0.00
Exercise Stock Option (Right to Buy) 55,500 $0.00 $0.00
Exercise Stock Option (Right to Buy) 92,440 $0.00 $0.00
Exercise Common Stock 65,685 $5.21 $342K
Exercise Common Stock 34,203 $9.50 $325K
Exercise Common Stock 55,500 $5.77 $320K
Exercise Common Stock 92,440 $3.06 $283K
Holdings After Transaction: Stock Option (Right to Buy) — 0 shares (Direct); Common Stock — 685,543 shares (Direct)
Footnotes (4)
  1. F1. Represents the exercise of options which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. All of the shares subject to this option are fully vested.
  2. F2. Represents the exercise of options which were originally granted on 10/27/2017 and became first exercisable on 10/27/2018. All of the shares subject to this option are fully vested.
  3. F3. Represents the exercise of options which were originally granted on 11/5/2018 and became first exercisable on 11/5/2019. All of the shares subject to this option are fully vested.
  4. F4. Represents the exercise of options which were originally granted on 11/6/2019 and became first exercisable on 11/6/2020. All of the shares subject to this option are fully vested.

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Form 4 Insider Transactions: What Each Field Means →
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)
02/26/2026
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 02/26/2026 M 65,685(1) A $5.21 503,400 D
Common Stock 02/26/2026 M 34,203(2) A $9.5 537,603 D
Common Stock 02/26/2026 M 55,500(3) A $5.77 593,103 D
Common Stock 02/26/2026 M 92,440(4) A $3.06 685,543 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) $5.21 02/26/2026 M 65,685(1) 10/28/2017 10/28/2026 Common Stock 65,685 $0 0 D
Stock Option (Right to Buy) $9.5 02/26/2026 M 34,203(2) 10/27/2018 10/27/2027 Common Stock 34,203 $0 0 D
Stock Option (Right to Buy) $5.77 02/26/2026 M 55,500(3) 11/05/2019 11/05/2028 Common Stock 55,500 $0 0 D
Stock Option (Right to Buy) $3.06 02/26/2026 M 92,440(4) 11/06/2020 11/06/2029 Common Stock 92,440 $0 0 D
Explanation of Responses:
1. Represents the exercise of options which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. All of the shares subject to this option are fully vested.
2. Represents the exercise of options which were originally granted on 10/27/2017 and became first exercisable on 10/27/2018. All of the shares subject to this option are fully vested.
3. Represents the exercise of options which were originally granted on 11/5/2018 and became first exercisable on 11/5/2019. All of the shares subject to this option are fully vested.
4. Represents the exercise of options which were originally granted on 11/6/2019 and became first exercisable on 11/6/2020. All of the shares subject to this option are fully vested.
/s/ Jeff Sensiba, Attorney-in-Fact 03/02/2026
** 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