0001179110-20-010216.txt : 20201005 0001179110-20-010216.hdr.sgml : 20201005 20201005133105 ACCESSION NUMBER: 0001179110-20-010216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201001 FILED AS OF DATE: 20201005 DATE AS OF CHANGE: 20201005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FISCHER GARY L CENTRAL INDEX KEY: 0001257647 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24085 FILM NUMBER: 201222974 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 2020-10-01 0 0001051627 AXT INC AXTI 0001257647 FISCHER GARY L 4281 TECHNOLOGY DR FREMONT CA 94538 0 1 0 0 VP, CFO & Corporate Secretary Common Stock 2020-10-01 4 M 0 130 2.29 A 200589 D Common Stock 2020-10-01 4 S 0 130 6.44 D 200459 D Common Stock 2020-10-02 4 M 0 19870 2.29 A 220329 D Common Stock 2020-10-02 4 S 0 19870 6.44 D 200459 D Common Stock 2020-10-02 4 M 0 100 2.29 A 200559 D Common Stock 2020-10-02 4 S 0 100 6.54 D 200459 D Stock Options 2.29 2020-10-01 4 M 0 130 2.29 D 2015-06-02 2024-06-02 Common Stock 130 442364 D Stock Options 2.29 2020-10-02 4 M 0 19970 2.29 D 2015-06-02 2024-06-02 Common Stock 19970 422394 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2020. /s/ Gary L Fischer, by power of attorney 2020-10-05