0001179110-20-000593.txt : 20200115 0001179110-20-000593.hdr.sgml : 20200115 20200115190621 ACCESSION NUMBER: 0001179110-20-000593 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200113 FILED AS OF DATE: 20200115 DATE AS OF CHANGE: 20200115 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: 20529212 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 2020-01-13 0 0001051627 AXT INC AXTI 0001078582 YOUNG MORRIS S 4281 TECHNOLOGY DR FREMONT CA 94538 1 1 0 0 Chief Executive Officer Common Stock 2020-01-13 4 M 0 90000 2.36 A 1625019 D Stock Option (right to buy) 2.36 2020-01-13 4 M 0 90000 0 D 2014-11-04 2023-11-04 Common Stock 90000 1361204 D 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. /s/ Morris S Young, by power of attorney 2020-01-15