Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AXT INCAXTI · Entity 4105 | Director · CEO | June 12, 2026 | June 16, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AXT INC
Report date June 12, 2026 · Filed June 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Young Family Trust DTD | 2,148,333 |
Reported balance
After 2026-06-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-06-12 · Gift · Disposed 1,200 · Balance 2,148,333 F1: The reporting person is subject to a lock-up agreement that expires on June 20, 2026 that was entered into with the representative of the underwriters (the "Representative") in connection with an underwritten public offering of the Issuer's common stock (the "Offering"). This bona fide gift is a permissible exemption under the terms of the lock-up agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is subject to a lock-up agreement that expires on June 20, 2026 that was entered into with the representative of the underwriters (the "Representative") in connection with an underwritten public offering of the Issuer's common stock (the "Offering"). This bona fide gift is a permissible exemption under the terms of the lock-up agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 12, 2026 Filed Jun 16, 2026 21:41 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 1,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-020833 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,148,333 F1 · shares: The reporting person is subject to a lock-up agreement that expires on June 20, 2026 that was entered into with the representative of the underwriters (the "Representative") in connection with an underwritten public offering of the Issuer's common stock (the "Offering"). This bona fide gift is a permissible exemption under the terms of the lock-up agreement. Read SEC document |
| June 02, 2026 Filed Jun 3, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,806 | $0.00 Strike: $5.21 | $0.00 |
DisclosureSEC source: 0001437749-26-019464 · rdgdoc.xml · derivative · entry 6 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 467,046 Underlying: Common Stock · 11,806 shares Expires 2026-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: 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. Read SEC document |
| June 02, 2026 Filed Jun 3, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 123,601 | $113.33 | $14,007,590.09 |
DisclosureSEC source: 0001437749-26-019464 · rdgdoc.xml · nonDerivative · entry 4 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,149,533 F4 · shares: Of the total shares sold, 11,806 shares were sold pursuant to the cashless exercise/same-say sale of the options reported in footnote 3. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.70 to $121.48,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. Read SEC document |
| June 02, 2026 Filed Jun 3, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 11,806 | $5.21 | $61,509.26 |
DisclosureSEC source: 0001437749-26-019464 · rdgdoc.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,273,134 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: 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. Read SEC document |
| June 01, 2026 Filed Jun 3, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 73,897 | $0.00 Strike: $5.21 | $0.00 |
DisclosureSEC source: 0001437749-26-019464 · rdgdoc.xml · derivative · entry 5 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 478,852 Underlying: Common Stock · 73,897 shares Expires 2026-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: 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. Read SEC document |
| June 01, 2026 Filed Jun 3, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 73,897 | $112.39 | $8,305,335.56 |
DisclosureSEC source: 0001437749-26-019464 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,261,328 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions pursuant to the cashless exercise/same-say sale of the options reported in footnote 1 at prices ranging from $110.00 to $115.64,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. Read SEC document |
| June 01, 2026 Filed Jun 3, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 73,897 | $5.21 | $385,003.37 |
DisclosureSEC source: 0001437749-26-019464 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,335,225 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: 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. Read SEC document |
| May 01, 2026 Filed May 5, 2026 18:31 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-014818 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,261,328 F2 · shares: Represents a bona-fide gift as a charitable contribution to a charitable foundation. The reporting person is subject to a lock-up agreement that expires on June 20, 2026 that was entered into the Representative in connection with the Offering. This charitable contribution is a permissible exemption under the terms of the lock-up agreement. Read SEC document |
| May 01, 2026 Filed May 5, 2026 18:31 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-014818 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,268,828 F1 · shares: Represents a bona-fide gift as a charitable contribution to a donor advised fund. The reporting person is subject to a lock-up agreement that expires on June 20, 2026 that was entered into with the representative of the underwriters (the "Representative") in connection with an underwritten public offering of the Issuer's common stock (the "Offering"). This charitable contribution is a permissible exemption under the terms of the lock-up agreement. Read SEC document |
| March 13, 2026 Filed Mar 16, 2026 18:31 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 37,905 | $51.13 | $1,938,018.21 |
DisclosureSEC source: 0001437749-26-008380 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,275,328 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.87 to $51.45,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. Read SEC document |
| March 10, 2026 Filed Mar 12, 2026 17:15 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 30,832 | $45.60 | $1,405,908.37 |
DisclosureSEC source: 0001437749-26-007899 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,313,233 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.52 to $46.63,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. Read SEC document |
| March 09, 2026 Filed Mar 10, 2026 23:21 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 125,893 | $36.51 | $4,596,655.57 |
DisclosureSEC source: 0001437749-26-007604 · rdgdoc.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,344,065 F2 · price: 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. Read SEC document |
| March 06, 2026 Filed Mar 10, 2026 23:21 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 8,300 | $39.65 | $329,063.46 |
DisclosureSEC source: 0001437749-26-007604 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,469,958 F1 · price: 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. Read SEC document |
| March 03, 2026 Filed Mar 10, 2026 23:21 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 3,780 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-007604 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,478,258 Read SEC document |
| March 02, 2026 Filed Mar 3, 2026 22:44 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 159,536 | $43.32 | $6,911,466.45 |
DisclosureSEC source: 0001437749-26-006696 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,482,038 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.38 to $46.98,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. Read SEC document |
| March 02, 2026 Filed Mar 3, 2026 22:08 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-006654 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,641,574 Read SEC document |
| March 02, 2026 Filed Mar 3, 2026 22:08 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 17,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-006654 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,651,574 Read SEC document |
| February 18, 2026 Filed Feb 20, 2026 22:39 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 218,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-004934 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,668,774 F1 · shares: Represents an award of at-risk, performance shares ("PSAs") under the Issuer's 2015 Equity Incentive Plan. The PSAs were originally approved to the Reporting Person on February 18, 2025 and are eligible to vest upon the achievement of certain target financial metrics for fiscal year 2025 ("FY2025"). The PSAs reported represent 97.6% of the maximum number of PSAs issuable to the Reporting Person in connection with exceeding the target financial metrics for FY2025. Read SEC document |
| December 09, 2025 Filed Dec 9, 2025 21:32 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 7,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-037263 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,450,604 Read SEC document |
| December 08, 2025 Filed Dec 9, 2025 20:22 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 37,160 | $12.46 | $462,902.12 |
DisclosureSEC source: 0001437749-25-037248 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,458,404 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.405 to $12.53,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. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 19,193 | $0.00 Strike: $5.21 | $0.00 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · derivative · entry 7 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 552,749 Underlying: Common Stock · 19,193 shares Expires 2026-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · shares: Exercise of restricted stock awards which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 17,331 | $0.00 Strike: $5.77 | $0.00 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · derivative · entry 6 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 571,942 Underlying: Common Stock · 17,331 shares Expires 2028-11-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · shares: Exercise of restricted stock awards which were originally granted on 11/05/2018 and became first exercisable on 11/05/2019. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 32,680 | $0.00 Strike: $3.06 | $0.00 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · derivative · entry 5 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 589,273 Underlying: Common Stock · 32,680 shares Expires 2029-11-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · shares: Exercise of restricted stock awards which were originally granted on 11/06/2019 and became first exercisable on 11/06/2020. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 35,000 | $12.05 | $421,750.00 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · nonDerivative · entry 4 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,495,564 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.92 to $12.13,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. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 19,193 | $5.21 | $99,995.53 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,530,564 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Exercise of restricted stock awards which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 17,331 | $5.77 | $99,999.87 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,511,371 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Exercise of restricted stock awards which were originally granted on 11/05/2018 and became first exercisable on 11/05/2019. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 18:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 32,680 | $3.06 | $100,000.80 |
DisclosureSEC source: 0001437749-25-037125 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,494,040 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Exercise of restricted stock awards which were originally granted on 11/06/2019 and became first exercisable on 11/06/2020. Read SEC document |
| November 21, 2025 Filed Nov 24, 2025 22:00 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-036141 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,461,360 Read SEC document |
| November 21, 2025 Filed Nov 24, 2025 22:00 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-036141 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Young Family Trust DTD Disclosed balance after: 2,464,360 Read SEC document |
| November 17, 2025 Filed Nov 19, 2025 00:13 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 33,130 | $10.40 | $344,386.35 |
DisclosureSEC source: 0001437749-25-035635 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,476,360 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.15 to $10.81,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. Read SEC document |
| November 14, 2025 Filed Nov 17, 2025 23:53 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $5.21 | $0.00 |
DisclosureSEC source: 0001437749-25-035497 · rdgdoc.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 621,953 Underlying: Common Stock · 70,000 shares Expires 2026-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Exercise of restricted stock awards which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. Read SEC document |
| November 14, 2025 Filed Nov 17, 2025 23:53 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 70,000 | $5.21 | $364,700.00 |
DisclosureSEC source: 0001437749-25-035497 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,509,490 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Exercise of restricted stock awards which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. Read SEC document |
| November 03, 2025 Filed Nov 4, 2025 21:23 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 80,000 | $8.65 | $691,848.00 |
DisclosureSEC source: 0001437749-25-033033 · rdgdoc.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Indirect · BY YOUNG FAMILY TRUST DTD Disclosed balance after: 2,439,490 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.38 to $9.16, 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. Read SEC document |
| October 31, 2025 Filed Nov 4, 2025 21:23 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-033033 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,519,490 Read SEC document |
| October 28, 2025 Filed Oct 30, 2025 17:59 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-25-032373 · rdgdoc.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,549,490 F1 · price: 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. Read SEC document |
| February 25, 2025 Filed Feb 26, 2025 21:23 UTC | AXT INC AXTI · Entity 4105 | PurchaseCommon Stock | 30,000 | $1.36 | $40,929.00 |
DisclosureSEC source: 0001415889-25-005683 · form4-02262025_090210.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,449,490 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in the open market in multiple transactions, at prices ranging from $1.31 to $1.43, 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 purchased at each separate transaction. Read SEC document |
| February 18, 2025 Filed Feb 20, 2025 23:40 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 223,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-004949 · form4-02202025_110242.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,419,490 F2 · shares: Represents an award of at-risk, performance shares ("PSAs") under the Issuer's 2015 Equity Incentive Plan. The PSAs were originally approved to the Reporting Person on February 20, 2024 and are eligible to vest upon the achievement of certain target financial metrics for fiscal year 2024 ("FY2024"). The PSAs reported in this row represent the maximum number of PSAs issued to the Reporting Person in connection with exceeding the target financial metric for FY2024. Read SEC document |
| February 18, 2025 Filed Feb 20, 2025 23:40 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 33,264 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-25-004949 · form4-02202025_110242.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,195,900 F1 · price: Represents common stock granted on February 18, 2025 (the "Grant Date") under the Issuer's 2015 Equity Incentive Plan, in a transaction exempt under Rule 16b-3, in lieu of the Reporting Person's cash bonus earned for the forth fiscal quarter of 2024 pursuant to the Issuer's Executive Incentive Plan. The common stock granted was calculated based on the cash bonus amount earned at a conversion price of $2.16, which is the 30-day trading average of the closing price of the Issuer's common stock from the Grant Date. Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 22:44 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 111,795 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-026742 · form4-11132024_101118.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,162,636 F1 · price: Represents a grant of restricted stock under the Issuer's 2015 Equity Incentive Plan on November 11, 2024 (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. Read SEC document |
| October 29, 2024 Filed Oct 31, 2024 17:59 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 22,003 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-025818 · form4-10312024_051005.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,050,841 F1 · price: Represents common stock granted on October 29, 2024 (the "Grant Date") under the Issuer's 2015 Equity Incentive Plan, in a transaction exempt under Rule 16b-3, in lieu of the Reporting Person's cash bonus earned for the third fiscal quarter of 2024 pursuant to the Issuer's Executive Incentive Plan. The common stock granted was calculated based on the cash bonus amount earned at a conversion price of $2.46, which is the 30-day trading average of the closing price of the Issuer's common stock from the Grant Date. Read SEC document |
| August 20, 2024 Filed Aug 22, 2024 22:53 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 39,792 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-022068 · form4-08222024_100823.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,028,838 F1 · price: Represents common stock granted on August 20, 2024 (the "Grant Date") under the Issuer's 2015 Equity Incentive Plan, in a transaction exempt under Rule 16b-3, in lieu of the Reporting Person's cash bonus earned for the second fiscal quarter of 2024 pursuant to the Issuer's Executive Incentive Plan. The common stock granted was calculated based on the cash bonus amount earned at a conversion price of $3.10, which is the 30-day trading average of the closing price of the Issuer's common stock from the Grant Date. Read SEC document |
| November 10, 2023 Filed Nov 14, 2023 22:58 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 111,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-015105 · form4-11142023_101154.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,989,046 Read SEC document |
| May 19, 2023 Filed Sep 12, 2023 19:57 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 108,112 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-013164 · form4-09122023_070915.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,877,251 Read SEC document |
| May 15, 2023 Filed Sep 12, 2023 19:57 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 108,112 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-013164 · form4-09122023_070915.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By daughter Disclosed balance after: 108,112 F1 · shares: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 15, 2023 Filed Sep 12, 2023 19:57 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 108,112 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-013164 · form4-09122023_070915.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,985,363 Read SEC document |
| October 28, 2022 Filed Nov 2, 2022 01:37 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 111,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-010969 · form4-11012022_061118.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,093,475 F1 · shares: This total includes 1,876,768 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019 two additional GRATS were established with 108,112 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. P artnership. The Reporting P erson disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting P erson is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. Read SEC document |
| March 14, 2022 Filed Mar 16, 2022 23:29 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 113,130 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-003082 · form4-03162022_040306.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,981,680 F1 · balance_after: This total includes 1,594.523 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019 two additional GRATS were established with 193,337 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 19:29 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 57,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-010083 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868,550 F1 · balance_after: This total includes 1,412,493 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Persons previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos Read SEC document |
| September 27, 2021 Filed Sep 27, 2021 18:31 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $3.06 | $0.00 |
DisclosureSEC source: 0001179110-21-008938 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 691,953 Underlying: Common Stock · 100,000 shares Expires 2029-11-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 27, 2021 Filed Sep 27, 2021 18:31 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 100,000 | $3.06 | $306,000.00 |
DisclosureSEC source: 0001179110-21-008938 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,811,390 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This total includes 1,430,753 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 227,787 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. Partnership. This total also corrects a clerical error in the Reporting Persons previous Form 4. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpos Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.