Welcome to our dedicated page for Axt SEC filings (Ticker: AXTI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
AXT, Inc. filings document the regulatory disclosures of a Nasdaq-listed manufacturer of compound semiconductor substrate wafers. Recent Form 8-K reports cover results of operations and financial condition, Regulation FD information, exhibit filings for earnings releases, and capital-structure disclosures involving its common stock.
The filing record also includes material definitive agreement disclosure for an underwriting agreement, exchange-registration information for AXTI common stock, and definitive proxy materials addressing shareholder voting matters, board and committee governance, director independence, and executive compensation.
AXT, Inc. reported results of its 2026 Annual Meeting and a change to its charter. Stockholders approved an amendment to the Restated Certificate of Incorporation to increase authorized common shares from 70,000,000 to 120,000,000, effective upon filing on June 4, 2026.
As of the March 20, 2026 record date, 56,944,925 common shares were outstanding, with 28,907,223 shares (about 52%) represented, establishing a quorum. Stockholders elected Dr. Morris Young and Dr. David Chang as Class I directors, approved an advisory vote on executive compensation, ratified BPM as independent auditor for 2026, and approved both the share-authorization amendment and a related adjournment proposal.
AXTI filed a Rule 144 notice reporting an affiliate sale notice for Common Stock. The filing shows a sale of 20,000 shares on 03/10/2026 with a reported value of $919,918.00. The record lists Nasdaq as the market and includes prior equity compensation items such as RSA and an Open Market Purchase entry dated 09/08/2004.
AXT Inc. director Jesse Chen reported both an equity grant and share sales. On June 4, 2026, Chen received a grant of 754 shares of common stock as an annual equity award, valued using the $105.99 closing price on the grant date and scheduled to vest on May 14, 2027.
Chen also sold 4,000 shares of common stock on June 3, 2026 at a weighted average price of $111.3600, and 6,133 shares on June 4, 2026 at a weighted average price of $108.2788. The filing notes that each sale consisted of multiple trades within price ranges of $106.68 to $114.36 and $105.32 to $112.26, respectively. After these transactions, Chen directly held 94,193 shares of AXT common stock.
LEBLANC LEONARD J reported acquisition or exercise transactions in this Form 4 filing.
AXT Inc. director Leonard J. LeBlanc received an equity grant of 754 shares of Common Stock. The shares were granted at no cash cost to him as a compensation award and are based on a reference price of $105.99 per share, the closing price on the June 4, 2026 grant date.
Following this grant, LeBlanc directly holds 119,629 shares of AXT common stock. The award is structured to vest on May 14, 2027, meaning the director earns full rights to the shares on that future date if vesting conditions are met.
CHANG DAVID C reported acquisition or exercise transactions in this Form 4 filing.
AXT INC director David C. Chang reported an equity award of 754 shares of common stock. The grant was calculated using a share price of $105.99, the closing price on June 4, 2026, and will vest on May 14, 2027. After this award, Chang directly holds 73,498 common shares.
AXT Inc CEO Morris S. Young reported a mix of stock option exercises and share sales in early June 2026. On June 1 and June 2, he exercised options for a total of 85,703 shares of common stock at an exercise price of $5.21 per share, from grants originally made on October 28, 2016 that are now fully vested.
In connection with these exercises, Young sold a total of 197,498 shares of AXT common stock in open‑market transactions, including cashless exercise/same‑day sale transactions. Weighted average sale prices were $112.3907 and $113.3291 per share, with actual trade prices ranging from $107.70 to $121.48 per share. Following these transactions, he directly holds 2,149,533 shares of AXT common stock, and the options exercised in these trades are fully used.
AXT Inc. director Jesse Chen reported open-market sales of company stock. On June 1, 2026, Chen sold 3,200 shares of AXT common stock in an open-market sale at a weighted average price of $111.5615 per share. On June 2, 2026, Chen sold an additional 2,000 shares at a weighted average price of $111.0325 per share. The prices on each day reflect multiple individual trades within stated ranges. After these transactions, Chen directly holds 104,326 shares of AXT common stock.
AXT Inc. filed a Form 144 notice reporting proposed sales of Common stock by affiliated holders. The filing lists multiple transactions by Morris S. Young and the Young Family Trust on specific dates between 03/02/2026 and 06/02/2026, with share and dollar amounts for each sale.
The broker named is Needham and Company LLC. The transactions are described as equity compensation-related and performance stock award shares in the excerpt.
AXT Inc. files a Form 144 reporting proposed dispositions of Common Stock via a cashless option exercise on 06/01/2026. The notice lists recent sales by related parties on NASDAQ and provides per‑transaction share counts and gross proceeds.
Examples shown include Morris S. Young selling 159,536 shares on 03/02/2026 for $6,911,466.45, 8,300 shares on 03/06/2026 for $329,063.46, and the Young Family Trust selling 30,832 shares on 03/10/2026 for $1,409,908.37. The filing identifies Needham and Company LLC and lists NASDAQ as the market.