0001179110-17-013522.txt : 20171030 0001179110-17-013522.hdr.sgml : 20171030 20171030143718 ACCESSION NUMBER: 0001179110-17-013522 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171027 FILED AS OF DATE: 20171030 DATE AS OF CHANGE: 20171030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YOUNG MORRIS S CENTRAL INDEX KEY: 0001078582 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24085 FILM NUMBER: 171161889 MAIL ADDRESS: STREET 1: 4281 TECHNOLOGY DRIVE CITY: FREMONT STATE: CA ZIP: 94538 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AXT INC CENTRAL INDEX KEY: 0001051627 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943031310 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4281 TECHNOLOGY DR. CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 510.438.4734 MAIL ADDRESS: STREET 1: 4281 TECHNOLOGY DR. CITY: FREMONT STATE: CA ZIP: 94538 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN XTAL TECHNOLOGY DATE OF NAME CHANGE: 19971217 4 1 edgar.xml FORM 4 - X0306 4 2017-10-27 0 0001051627 AXT INC AXTI 0001078582 YOUNG MORRIS S 4281 TECHNOLOGY DR FREMONT CA 94538 1 1 0 0 Chief Executive Officer Common Stock 2017-10-27 4 A 0 61666 0 A 1181970 D Stock Option (right to buy) 9.50 2017-10-27 4 A 0 89797 9.50 A 2018-10-27 2027-10-27 Common Stock 89797 1118693 D Represent grant of restricted stock awards which vest in four equal installments on each anniversary of the date of grant. 1/4 vested on first year anniversary and 1/48 monthly thereafter. 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. /s/ Morris S Young, by power of attorney 2017-10-30