AXT, Inc. (NASDAQ: AXTI) lists proposed insider share sales in Form 144

Rhea-AI Filing Summary

AXT, Inc. submitted notices under Section 144 reporting proposed sales of common stock tied to prior stock option exercises and restricted stock awards. The filing lists multiple planned dispositions with individual lots and dates, including examples such as 62,560 shares (11/06/2019) and 42,300 shares (10/28/2016).

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Accepted by SEC EDGAR 03/02/2026 - 09:08 AM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Merrill Lynch 4900 Hopyard Road Ste. 140 Pleasanton CA 94588	494265	18782070	46623170	03/02/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	10/20/2020	Stock Option Exercise	AXT, INC.			40328	10/20/2020	Stock Option Exercise
Common	10/28/2025	Stock Option Exercise	AXT, INC.			10280	10/28/2025	Stock Option Exercise
Common	11/05/2023	Restricted Stock Award	AXT, INC			9618	11/05/2023	Restricted Stock Award
Common	11/05/2024	Restricted Stock Award	AXT, INC			9618	11/05/2024	Restricted Stock Award
Common	02/18/2025	Restricted Stock Award	AXT, INC			19400	02/18/2025	Restricted Stock Award
Common	11/10/2025	Restricted Stock Award	AXT, INC			19400	11/10/2025	Restricted Stock Award
Common	02/18/2026	Restricted Stock Award	AXT, INC			18940	02/18/2026	Restricted Stock Award
Common	11/05/2024	Restricted Stock Award	AXT, INC			6412	11/05/2024	Restricted Stock Award
Common	02/19/2025	Restricted Stock Award	AXT, INC			2000	02/19/2025	Restricted Stock Award
Common	11/10/2023	Restricted Stock Award	AXT, INC			4013	11/10/2023	Restricted Stock Award
Common	11/05/2018	Stock Option Exercise	AXT, INC.			18318	11/05/2018	Stock Option Exercise
Common	11/05/2018	Stock Option Exercise	AXT, INC.			37182	11/05/2018	Stock Option Exercise
Common	10/27/2017	Stock Option Exercise	AXT, INC			10147	10/27/2017	Stock Option Exercise
Common	10/27/2017	Stock Option Exercise	AXT, INC			24056	10/27/2017	Stock Option Exercise
Common	11/10/2024	Restricted Stock Award	AXT, INC.			4012	11/10/2024	Restricted Stock Award
Common	11/10/2025	Restricted Stock Award	AXT, INC.			4012	11/10/2025	Restricted Stock Award
Common	11/10/2023	Restricted Stock Award	AXT, INC.			1500	11/10/2023	Restricted Stock Award
Common	11/10/2024	Restricted Stock Award	AXT, INC.			1500	11/10/2024	Restricted Stock Award
Common	11/10/2025	Restricted Stock Award	AXT, INC.			1500	11/10/2025	Restricted Stock Award
Common	10/28/2023	Restricted Stock Award	AXT, INC.			9700	10/28/2023	Restricted Stock Award
Common	10/28/2025	Restricted Stock Award	AXT, INC.			9700	10/28/2025	Restricted Stock Award
Common	11/10/2024	Restricted Stock Award	AXT, INC.			9700	11/10/2024	Retricted Stock Award
Common	11/10/2025	Restricted Stock Award	AXT, INC.			9700	11/10/2025	Restricted Stock Award
Common	02/18/2026	Restricted Stock Award	AXT, INC.			13233	02/18/2026	Restricted Stock Award
Common	08/20/2025	Restricted Stock Award	AXT, INC.			4412	08/20/2025	Restricted Stock Award
Common	02/18/2026	Restricted Stock Award	AXT, INC.			9756	02/18/2026	Restricted Stock Award
Common	10/29/2025	Restricted Stock Award	AXT, INC.			3253	10/29/2025	Restricted Stock Award
Common	11/11/2025	Restricted Stock Award	AXT, INC.			9700	11/11/2025	Restricted Stock Award
Common	02/18/2025	Restricted Stock Award	AXT, INC.			3688	02/18/2025	Restricted Stock Award
Common	02/18/2025	Restricted Stock Award	AXT, INC.			11062	02/18/2025	Restricted Stock Award
Common	11/06/2019	Stock Option Exercise	AXT, INC.			29880	11/06/2019	Stock Option Exercise
Common	11/06/2019	Stock Option Exercise	AXT, INC.			62560	11/06/2019	Stock Option Exercise
Common	10/28/2016	Stock Option Exercise	AXT, INC.			23385	10/28/2016	Stock Option Exercise
Common	10/28/2016	Stock Option Exercise	AXT, INC.			42300	10/28/2016	Stock Option Exercise

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does AXTI's Form 144 disclose?

It discloses proposed sales of common stock by holders from option exercises and restricted awards. The filing lists numerous lots and dates tied to exercises and restricted stock awards, specifying share counts for each planned disposition.

How many shares are shown as examples in the AXTI excerpt?

Examples include individual lots such as 62,560 shares and 42,300 shares. Those specific counts appear with dates 11/06/2019 and 10/28/2016, respectively, among many other listed lots.

Do the Form 144 entries show the reason for the sales for AXTI?

The entries identify the security source (stock option exercise or restricted stock award). Each row pairs a source type and a date with a share count, but no additional purpose statements appear in the excerpt.

Are aggregate proceeds or totals provided in the AXTI excerpt?

No aggregate proceeds or a single total share amount are presented in the excerpt. The content lists multiple individual lots and dates with share counts but does not sum them or state aggregate proceeds.

What types of securities are listed in AXTI's filing?

Only Common stock is listed, tied to stock option exercises and restricted stock awards. Each listed transaction line in the excerpt is labeled "Common" and references exercise or award dates and share amounts.