Form 4 for AXTI AXT INC
Accepted 2026-06-03 18:39:27 ET · period of report 2026-06-01 · accession 0001437749-26-019464 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2026-06-03 18:39 | 2026-06-01+ | AXTI | YOUNG MORRIS S | CEO, Dir | M - OptEx | $5.21 | +85.7K | 2.27M | +4% | +$446.5K |
| DM | 2026-06-03 18:39 | 2026-06-01+ | AXTI | YOUNG MORRIS S | CEO, Dir | S - Sale+OE | $112.98 | -197.5K | 2.15M | -8% | -$22.31M |
| DM | 2026-06-03 18:39 | 2026-06-01+ | AXTI | YOUNG MORRIS S | CEO, Dir | M - OptEx | $0.00 | -85.7K | 467.0K | -16% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-06-01 | M | A | 73,897 | $5.21 | 2,335,225 | D | — | — | (F1) Represents the exercise of options which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. All of the shares subject to this option are fully vested. |
| 2 | Common | Common Stock | 2026-06-01 | S | D | 73,897 | $112.39 | 2,261,328 | D | — | — | (F2) 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. |
| 3 | Common | Common Stock | 2026-06-02 | M | A | 11,806 | $5.21 | 2,273,134 | D | — | — | (F3) 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. |
| 4 | Common | Common Stock | 2026-06-02 | S | D | 123,601 | $113.33 | 2,149,533 | D | — | — | (F4) 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) 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. |
| 5 | Derivative | Stock Option (Right to Buy) | 2026-06-01 | M | D | 73,897 | $0.00 | 478,852 | D | $5.21 · 2017-10-28 to 2026-10-28 | 73,897 Common Stock | (F1) Represents the exercise of options which were originally granted on 10/28/2016 and became first exercisable on 10/28/2017. All of the shares subject to this option are fully vested. |
| 6 | Derivative | Stock Option (Right to Buy) | 2026-06-02 | M | D | 11,806 | $0.00 | 467,046 | D | $5.21 · 2017-10-28 to 2026-10-28 | 11,806 Common Stock | (F3) 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. |