Axt Inc SEC Filings

AXT, Inc. filed an S-3 shelf registration to offer up to $100,000,000 of securities from time to time after effectiveness. The mixed shelf may include common stock, preferred stock, debt securities, depositary shares, warrants, subscription rights, purchase contracts and units, with specific terms to be set in future supplements.

AXT’s common stock trades on the Nasdaq Global Select Market under the symbol AXTI. AXT states it believes no PRC central government permissions are required to complete this offering, while noting its manufacturing is conducted by PRC subsidiaries and joint ventures and highlighting related legal and operational risks. Unless otherwise specified in a supplement, net proceeds will be used for working capital and general corporate purposes. Securities may be sold directly or via agents, underwriters or dealers, with pricing determined at the time of each offering. The company does not anticipate paying cash dividends and qualifies as a smaller reporting company.

AXT Inc. (AXTI) reported an insider transaction by a director. On 11/05/2025, the director executed an open-market sale (code S) of 100,000 shares of common stock at $8.9404 per share. Following the sale, the director directly beneficially owns 207,744 shares. The filing indicates the form was submitted by one reporting person.

AXT Inc (AXTI) reported an insider transaction by its CFO. On 11/06/2025, the officer sold 22,675 shares of common stock in an open‑market transaction at a weighted average price of $8.8722.

The filing notes the sales occurred across multiple trades within a price range of $8.85 to $8.96. Following the transaction, the officer beneficially owned 463,294 shares, held directly.

AXT Inc. (AXTI) disclosed insider stock sales by its CFO. On 11/04/2025, the officer sold 27,720 shares of common stock at a weighted average price of $8.0874, leaving 538,484 shares beneficially owned directly. On 11/05/2025, a further 52,515 shares were sold at a weighted average price of $9.2088, resulting in 485,969 shares beneficially owned directly after the transactions. The sales were executed through multiple trades within stated price ranges.

AXT, Inc. (AXTI) reported insider activity by its CEO on Form 4. On 10/31/2025, the reporting person made a gift of 30,000 common shares at $0. Following this gift, 2,519,490 shares were beneficially owned directly.

On 11/03/2025, the reporting person sold 80,000 common shares at a weighted average price of $8.6481, with individual trades ranging from $8.38 to $9.16. Following this sale, 2,439,490 shares were beneficially owned indirectly by the Young Family Trust.

AXT, Inc. furnished an 8-K announcing it issued a press release with financial results for the quarter ended September 30, 2025. The press release is attached as Exhibit 99.1 and incorporated by reference as stated.

The company notes the information in Exhibit 99.1 is being “furnished” under General Instruction B.2 and is not deemed “filed” for purposes of Section 18 of the Exchange Act or Sections 11 and 12(a)(2) of the Securities Act. It will not be incorporated by reference into other filings unless expressly stated.

AXT Inc. (AXTI) disclosed that its CEO acquired 100,000 shares of common stock on 10/28/2025 through a restricted stock grant. The award was made under the company’s 2025 Equity Incentive Plan, is exempt under Rule 16b-3, and was granted in consideration for past services, subject to a restricted stock agreement.

Following the transaction, the CEO beneficially owned 2,549,490 shares, held directly.

AXT, Inc. reported an insider equity grant. The CFO received 37,500 shares of restricted stock on October 28, 2025, reported with transaction code “A.” The award was granted under the company’s 2025 Equity Incentive Plan and is described as consideration for past services rendered, exempt under Rule 16b-3 and subject to a restricted stock agreement.

Following this grant, the reporting person beneficially owned 566,204 shares, held directly. This filing reflects a non-cash equity compensation event and does not involve an open-market purchase or sale.

AXT Inc (AXTI) reported an insider transaction by its CFO. On 10/20/2025, the officer exercised stock options for 10,280 shares at $2.18 per share (transaction code M), adding the shares to direct holdings.

After the transaction, the officer directly beneficially owned 528,704 common shares. Derivative securities beneficially owned following the event were 247,828 stock options originally granted on 11/02/2015 and expiring on 11/02/2025.