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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4/A |
| Period of Report: 12/23/19 |
| Date of Original Submission: 12/30/19 |
| Not Subject to Section 16: 1 |
| Issuer: |
| Issuer CIK: 1051627 |
| Issuer Name: AXT INC |
| Issuer Trading Symbol: AXTI |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1171012 |
| | Owner Name: Uni-Pixel |
| Reporting Owner Address: |
| | Owner Street 1: 4281 TECHNOLOGY DR |
| | Owner Street 2: |
| | Owner City: FREMONT |
| | Owner State: CA |
| | Owner ZIP Code: 94538 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: |
| | Other Text: |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | | Footnote ID: F1 |
| | Transaction Date: |
| | | Value: 12/23/19 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 0 |
| Footnote ID: F2 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 0 |
| Footnote ID: F2 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Derivative Table: |
| Footnotes: |
| Footnote - F1: This Form 4 was filed in error for the incorrect reporting person. Uni-Pixel, Inc. is not the beneficial owner of any securities of AXT, Inc. |
| Footnote - F2: The reporting person did not receive a grant of a restricted stock award. |
| Owner Signature: |
| Signature Name: /s/ Christine Russell, by Power of Attorney |
| Signature Date: 12/30/19 |
