0001415889-22-010969.txt : 20221101 0001415889-22-010969.hdr.sgml : 20221101 20221101213732 ACCESSION NUMBER: 0001415889-22-010969 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221028 FILED AS OF DATE: 20221101 DATE AS OF CHANGE: 20221101 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: 221352106 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 form4-11012022_061118.xml X0306 4 2022-10-28 0001051627 AXT INC AXTI 0001078582 YOUNG MORRIS S 4281 TECHNOLOGY DR. FREMONT CA 94538 true true false false CHAIRMAN AND CEO Common Stock 2022-10-28 4 A 0 111795 0 A 2093475 D This total includes 1,876,768 shares of common stock held by the Reporting Person and the Young Family Trust for which the Reporting Person serves as trustee; In 2019 two additional GRATS were established with 108,112 shares each for which the Reporting Person serves as trustee; and 483 shares of common stock held by the Morris Young Family Ltd. P artnership. The Reporting P erson 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 P erson is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. /s/ /s/ Morris S Young, Attorney-in-Fact, Attorney-in-Fact 2022-11-01