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 |
|---|---|---|---|---|---|---|
| November 07, 2017 Filed Nov 8, 2017 18:56 UTC Amendment | AXT INC AXTI · Entity 4105 | Disposition to issuerStock Option (right to buy) · Derivative | 50,000 | $2.18 Strike: $2.18 | $109,000.00 |
DisclosureSEC source: 0001179110-17-013869 · edgar.xml · derivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,693 Underlying: Common Stock · 50,000 shares Expires 2025-11-02 Read SEC document |
| November 07, 2017 Filed Nov 8, 2017 18:56 UTC Amendment | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 50,000 | $8.86 | $443,000.00 |
DisclosureSEC source: 0001179110-17-013869 · 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 07, 2017 Filed Nov 8, 2017 18:56 UTC Amendment | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 50,000 | $2.18 | $109,000.00 |
DisclosureSEC source: 0001179110-17-013869 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,231,970 Read SEC document |
| November 07, 2017 Filed Nov 8, 2017 18:48 UTC | AXT INC AXTI · Entity 4105 | Disposition to issuerStock Option (right to buy) · Derivative | 50,000 | $2.18 Strike: $2.18 | $109,000.00 |
DisclosureSEC source: 0001179110-17-013867 · edgar.xml · derivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,693 Underlying: Common Stock · 50,000 shares Expires 2025-11-02 Read SEC document |
| November 07, 2017 Filed Nov 8, 2017 18:48 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 50,000 | $8.86 | $443,000.00 |
DisclosureSEC source: 0001179110-17-013867 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,120,304 Read SEC document |
| November 07, 2017 Filed Nov 8, 2017 18:48 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 50,000 | $2.18 | $109,000.00 |
DisclosureSEC source: 0001179110-17-013867 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,170,304 F1 · balance_after: This total includes 248,210 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 |
| October 27, 2017 Filed Oct 30, 2017 18:37 UTC | AXT INC AXTI · Entity 4105 | GrantStock Option (right to buy) · Derivative | 89,797 | $9.50 Strike: $9.50 | $853,071.50 |
DisclosureSEC source: 0001179110-17-013522 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,118,693 Underlying: Common Stock · 89,797 shares Expires 2027-10-27 F2 · derivative.exercise_date: 1/4 vested on first year anniversary and 1/48 monthly thereafter. F2 · derivative.underlying_shares: 1/4 vested on first year anniversary and 1/48 monthly thereafter. Read SEC document |
| October 27, 2017 Filed Oct 30, 2017 18:37 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 61,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-013522 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,181,970 F1 · shares: Represent grant of restricted stock awards which vest in four equal installments on each anniversary of the date of grant. F3 · 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 |
| July 31, 2017 Filed Aug 2, 2017 21:14 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 92,896 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0001179110-17-010985 · edgar.xml · derivative · entry 4 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,028,896 Underlying: Common Stock · 92,896 shares Expires 2019-07-16 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 · derivative.exercise_date: The Options are fully vested and exercisable. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 21:14 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 45,000 | $8.53 | $383,850.00 |
DisclosureSEC source: 0001179110-17-010985 · edgar.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,120,304 F1 · balance_after: This total includes 311,821 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 |
| July 31, 2017 Filed Aug 2, 2017 21:14 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 47,896 | $8.54 | $409,031.84 |
DisclosureSEC source: 0001179110-17-010985 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,165,304 Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 21:14 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 92,896 | $1.59 | $147,704.64 |
DisclosureSEC source: 0001179110-17-010985 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,213,200 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 30, 2016 Filed Dec 1, 2016 23:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0001179110-16-032283 · edgar.xml · derivative · entry 5 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,121,792 Underlying: Common Stock · 40,000 shares Expires 2019-07-16 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 · derivative.exercise_date: The Options are fully vested and exercisable. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 23:02 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 40,000 | $1.59 | $63,600.00 |
DisclosureSEC source: 0001179110-16-032283 · edgar.xml · nonDerivative · entry 4 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,120,304 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 311,821 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 30, 2016 Filed Dec 1, 2016 23:02 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 10,710 | $5.05 | $54,085.50 |
DisclosureSEC source: 0001179110-16-032283 · edgar.xml · nonDerivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,080,304 Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 23:02 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 700 | $5.10 | $3,570.00 |
DisclosureSEC source: 0001179110-16-032283 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,091,014 Read SEC document |
| November 28, 2016 Filed Nov 29, 2016 19:43 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 34,556 | $5.13 | $177,272.28 |
DisclosureSEC source: 0001179110-16-032165 · edgar.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,104,948 F1 · balance_after: 1. This total includes 284,465 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. 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 25, 2016 Filed Nov 29, 2016 19:43 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 10,512 | $5.10 | $53,611.20 |
DisclosureSEC source: 0001179110-16-032165 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,139,504 Read SEC document |
| November 23, 2016 Filed Dec 1, 2016 23:02 UTC | AXT INC AXTI · Entity 4105 | GiftCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-032283 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,091,714 Read SEC document |
| November 22, 2016 Filed Nov 24, 2016 02:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionStock Options (right to buy) · Derivative | 80,000 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0001104659-16-158981 · a4.xml · derivative · entry 3 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,161,792 Underlying: Common Stock · 80,000 shares Expires 2019-07-16 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 · derivative.exercise_date: The options are fully vested and exercisable. Read SEC document |
| November 22, 2016 Filed Nov 24, 2016 02:27 UTC | AXT INC AXTI · Entity 4105 | SaleCommon Stock | 3,522 | $5.20 | $18,314.40 |
DisclosureSEC source: 0001104659-16-158981 · a4.xml · nonDerivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150,016 F1 · balance_after: This total includes 329,533 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. 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 22, 2016 Filed Nov 24, 2016 02:27 UTC | AXT INC AXTI · Entity 4105 | Exercise / conversionCommon Stock | 80,000 | $1.59 | $127,200.00 |
DisclosureSEC source: 0001104659-16-158981 · a4.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,153,538 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 329,533 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. 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 |
| October 28, 2016 Filed Nov 1, 2016 18:08 UTC | AXT INC AXTI · Entity 4105 | GrantStock Options · Derivative | 174,896 | $5.21 Strike: $5.21 | $911,208.16 |
DisclosureSEC source: 0001179110-16-031044 · edgar.xml · derivative · entry 2 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,241,792 Underlying: Common Stock · 174,896 shares Expires 2026-10-28 F2 · derivative.underlying_shares: 1/4 vested on first year anniversary and 1/48 monthly thereafter. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 18:08 UTC | AXT INC AXTI · Entity 4105 | GrantCommon Stock | 58,299 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-031044 · edgar.xml · nonDerivative · entry 1 YOUNG MORRIS S · CIK 0001078582 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,073,538 F1 · shares: Represent grant of restricted stock awards which vest in four equal installments on each anniversary of the date of grant. F3 · balance_after: This total includes 603,951 shares of common stock held by the Young Family Trust 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 purpose. 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.