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 |
|---|---|---|---|---|---|---|
| August 06, 2021 Filed Aug 9, 2021 17:34 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 11,561 | $9.75 | $112,719.75 |
DisclosureSEC source: 0001179110-21-008027 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,711,390 Read SEC document |
| August 05, 2021 Filed Aug 9, 2021 17:34 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 28,439 | $9.65 | $274,436.35 |
DisclosureSEC source: 0001179110-21-008027 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,722,951 F1 · balance_after: This total includes 1,330,753 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 |
| July 06, 2021 Filed Jul 7, 2021 15:18 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 40,000 | $10.49 | $419,600.00 |
DisclosureSEC source: 0001179110-21-007418 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,751,390 F1 · balance_after: This total includes 1,370,753 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 |
| June 15, 2021 Filed Jun 17, 2021 15:58 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (Right to Buy) · Derivative | 140,801 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001179110-21-006806 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 791,953 Underlying: Common Stock · 140,801 shares Expires 2025-11-02 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 |
| June 15, 2021 Filed Jun 17, 2021 15:58 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 140,801 | $2.18 | $306,946.18 |
DisclosureSEC source: 0001179110-21-006806 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,791,390 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 1,410,753 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 |
| June 07, 2021 Filed Jun 8, 2021 18:39 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 40,000 | $10.48 | $419,200.00 |
DisclosureSEC source: 0001179110-21-006474 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650,589 F1 · balance_after: This total includes 1,269,952 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 |
| May 07, 2021 Filed May 7, 2021 21:27 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 9,275 | $9.77 | $90,616.75 |
DisclosureSEC source: 0001179110-21-005026 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,690,589 Read SEC document |
| May 05, 2021 Filed May 7, 2021 21:27 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 30,275 | $9.64 | $291,851.00 |
DisclosureSEC source: 0001179110-21-005026 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,699,864 F1 · balance_after: This total includes 1,309,952 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 |
| April 06, 2021 Filed Apr 7, 2021 18:05 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 40,000 | $12.25 | $490,000.00 |
DisclosureSEC source: 0001179110-21-004295 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,730,589 F1 · balance_after: This total includes 1,349,952 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 |
| March 16, 2021 Filed Mar 18, 2021 16:48 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $4.79 | $0.00 |
DisclosureSEC source: 0001179110-21-003577 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 932,754 Underlying: Common Stock · 90,000 shares Expires 2021-10-28 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 16:48 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 90,000 | $4.79 | $431,100.00 |
DisclosureSEC source: 0001179110-21-003577 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,770,589 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 1,389,952 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 |
| March 05, 2021 Filed Mar 9, 2021 16:28 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 40,000 | $10.97 | $438,800.00 |
DisclosureSEC source: 0001179110-21-003087 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,680,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person November 24, 2020. F1 · balance_after: This total includes 1,224,532 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 |
| February 22, 2021 Filed Feb 26, 2021 16:37 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 1,000 | $2.91 | $2,910.00 |
DisclosureSEC source: 0001179110-21-002316 · edgar.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,720,589 F1 · balance_after: This total includes 1,264,532 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 |
| February 22, 2021 Filed Feb 26, 2021 16:37 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 7,500 | $2.36 | $17,700.00 |
DisclosureSEC source: 0001179110-21-002316 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,721,589 Read SEC document |
| February 22, 2021 Filed Feb 26, 2021 16:37 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 1,500 | $2.47 | $3,705.00 |
DisclosureSEC source: 0001179110-21-002316 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,729,089 Read SEC document |
| February 19, 2021 Filed Feb 22, 2021 18:22 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-002021 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,730,589 F1 · balance_after: This total includes 1,274,532 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 |
| February 05, 2021 Filed Feb 9, 2021 23:08 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 37,000 | $11.21 | $414,770.00 |
DisclosureSEC source: 0001179110-21-001472 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,715,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,259,532 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 |
| January 05, 2021 Filed Jan 6, 2021 21:57 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 37,000 | $10.01 | $370,370.00 |
DisclosureSEC source: 0001179110-21-000335 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,752,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,296,532 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 |
| December 07, 2020 Filed Dec 8, 2020 21:19 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 37,000 | $9.76 | $361,120.00 |
DisclosureSEC source: 0001179110-20-011754 · edgar.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,789,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,333,532 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 |
| November 25, 2020 Filed Dec 8, 2020 21:19 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 7,500 | $4.79 | $35,925.00 |
DisclosureSEC source: 0001179110-20-011754 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,826,589 Read SEC document |
| November 25, 2020 Filed Dec 8, 2020 21:19 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 2,500 | $2.47 | $6,175.00 |
DisclosureSEC source: 0001179110-20-011754 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,834,089 Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 17:58 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 12,000 | $8.25 | $99,000.00 |
DisclosureSEC source: 0001179110-20-011147 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,836,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,380,532 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 |
| November 12, 2020 Filed Nov 13, 2020 16:43 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 10,000 | $7.70 | $77,000.00 |
DisclosureSEC source: 0001179110-20-011098 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,848,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 16:43 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 10,000 | $7.00 | $70,000.00 |
DisclosureSEC source: 0001179110-20-011098 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,858,589 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,392,532 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 |
| November 05, 2020 Filed Nov 6, 2020 17:07 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 5,000 | $6.00 | $30,000.00 |
DisclosureSEC source: 0001179110-20-010857 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,793,169 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,337,112 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 |
| November 05, 2020 Filed Nov 10, 2020 00:20 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 75,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-010940 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868,589 F1 · balance_after: This total includes 1,412,532 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 |
| October 05, 2020 Filed Oct 6, 2020 15:43 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 5,000 | $6.40 | $32,000.00 |
DisclosureSEC source: 0001179110-20-010298 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,798,169 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 25, 2020. F1 · balance_after: This total includes 1,342,112 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 16, 2020 Filed Sep 17, 2020 18:18 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 5,000 | $6.01 | $30,050.00 |
DisclosureSEC source: 0001179110-20-009851 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,803,169 F1 · balance_after: This total includes 1,347,112 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 03, 2020 Filed Sep 4, 2020 18:07 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 120,000 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001179110-20-009578 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,022,754 Underlying: Common Stock · 120,000 shares Expires 2025-11-02 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 03, 2020 Filed Sep 4, 2020 18:07 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 120,000 | $2.18 | $261,600.00 |
DisclosureSEC source: 0001179110-20-009578 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,808,169 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 1,352,112 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 |
| August 26, 2020 Filed Aug 27, 2020 22:51 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 5,000 | $6.00 | $30,000.00 |
DisclosureSEC source: 0001179110-20-009400 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,724,019 F1 · balance_after: This total includes 1,267,96 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 Person's 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 |
| August 02, 2020 Filed Aug 27, 2020 22:51 UTC | AXT INC AXTI · Entity 4105 | OtherStock Option (right to buy) · Derivative | 110,000 | $0.00 Strike: $5.83 | $0.00 |
DisclosureSEC source: 0001179110-20-009400 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,142,754 Underlying: Common Stock · 110,000 shares Expires 2020-08-02 F2 · balance_after: On August 2, 2020, 110,000 stock options expired. Read SEC document |
| July 28, 2020 Filed Jul 29, 2020 22:38 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 108,000 | $0.00 Strike: $2.91 | $0.00 |
DisclosureSEC source: 0001179110-20-008549 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,252,754 Underlying: Common Stock · 108,000 shares Expires 2022-11-05 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. Read SEC document |
| July 28, 2020 Filed Jul 29, 2020 22:38 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 108,000 | $2.91 | $314,280.00 |
DisclosureSEC source: 0001179110-20-008549 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,729,019 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 626,806 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 218,113 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 183,617 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 350,000 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 Person's 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 purpose Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:06 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 4,000 | $1.18 | $4,720.00 |
DisclosureSEC source: 0001179110-20-006344 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,621,019 F1 · balance_after: This total includes 518,806 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 218,113 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 183,617 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 350,000 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 Person's 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 purpose Read SEC document |
| January 13, 2020 Filed Jan 16, 2020 00:06 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $2.36 | $0.00 |
DisclosureSEC source: 0001179110-20-000593 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,361,204 Underlying: Common Stock · 90,000 shares Expires 2023-11-04 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 |
| January 13, 2020 Filed Jan 16, 2020 00:06 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 90,000 | $2.36 | $212,400.00 |
DisclosureSEC source: 0001179110-20-000593 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,625,019 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 522,806 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 218,113 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 183,617 shares of common stock held by the Vicke Young 2016 Annuity Trust for which the Reporting Person serves as trustee; In 2019, two additional GRATS were established with 350,000 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 Person's 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 purpose. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 18:12 UTC | AXT INC AXTI · Entity 4105 | GrantStock Option (right to buy) · Derivative | 337,720 | $3.06 Strike: $3.06 | $1,033,423.20 |
DisclosureSEC source: 0001179110-19-011551 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,451,204 Underlying: Common Stock · 337,720 shares Expires 2029-11-06 F2 · shares: 1/4 vested on first anniversary and 1/48 thereafter. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 18:12 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 160,330 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-011551 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,535,019 F1 · shares: Represents grant of restricted stock awards which vest in four equal installments on each anniversary of the grant date. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 53,221 | $0.00 Strike: $2.47 | $0.00 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · derivative · entry 6 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,113,484 Underlying: Common Stock · 53,221 shares Expires 2024-11-03 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 |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 19,199 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · derivative · entry 5 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,166,705 Underlying: Common Stock · 19,199 shares Expires 2025-11-02 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 |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 42,779 | $0.00 Strike: $2.47 | $0.00 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · derivative · entry 4 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,185,904 Underlying: Common Stock · 42,779 shares Expires 2024-11-03 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 |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 53,221 | $2.47 | $131,455.87 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,374,689 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 684,788 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 346,162 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 343,256 shares of common stock held by the Vicke Young 2016 Annuity Trust 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 Person's 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 purpose. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 19,199 | $2.18 | $41,853.82 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,321,468 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 |
| December 19, 2018 Filed Dec 20, 2018 22:15 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 42,779 | $2.47 | $105,664.13 |
DisclosureSEC source: 0001179110-18-014190 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302,269 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 |
| November 05, 2018 Filed Nov 8, 2018 20:56 UTC | AXT INC AXTI · Entity 4105 | GrantStock Option (right to buy) · Derivative | 189,990 | $5.77 Strike: $5.77 | $1,096,242.30 |
DisclosureSEC source: 0001179110-18-012665 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,228,683 Underlying: Common Stock · 189,990 shares Expires 2028-11-05 Read SEC document |
| November 05, 2018 Filed Nov 8, 2018 20:56 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 87,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-012665 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,259,490 F1 · balance_after: This total includes 569,589 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; 346,162 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee; 343,256 shares of common stock held by the Vicke Young 2016 Annuity Trust 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 Person's 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 purpose. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 01:17 UTC | AXT INC AXTI · Entity 4105 | Disposition to issuerStock Option (right to buy) · Derivative | 30,000 | $2.18 Strike: $2.18 | $65,400.00 |
DisclosureSEC source: 0001179110-17-014396 · edgar.xml · derivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,038,693 Underlying: Common Stock · 30,000 shares Expires 2025-11-02 Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 01:17 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 30,000 | $9.76 | $292,800.00 |
DisclosureSEC source: 0001179110-17-014396 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,181,970 F1 · balance_after: This total includes 361,487 shares of common stock held by the Young Family Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Morris S. S. Young 2016 Annuity Trust for which the Reporting Person serves as trustee, 410,000 shares of common stock held by the Vicke Young 2016 Annuity Trust 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 Person's 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 purpose. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 01:17 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 30,000 | $2.18 | $65,400.00 |
DisclosureSEC source: 0001179110-17-014396 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,211,970 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.