AXT Inc. files Form 144 for proposed award share sales

Rhea-AI Filing Summary

AXT Inc. filed a Form 144 disclosing proposed sales of multiple common shares linked to performance stock awards, including 27,949, 5,501, 98,137, and 27,949 shares with award dates in 10/28/2025, 10/29/2025, 11/10/2025, and 11/11/2025

The filing also reports insider sales by Morris S. Young of 35,000 shares on 12/04/2025 for $421,652.00 and 37,160 shares on 12/08/2025 for $462,909.55.

Insights

Securities Counsel

Form 144 notifies the market of proposed resale of award-based shares and records recent insider disposals.

The filing lists proposed sales tied to performance stock awards dated 10/28/2025 through 11/11/2025, with discrete share counts: 27,949, 5,501, 98,137, and 27,949. It also records two completed insider sales by Morris S. Young on 12/04/2025 and 12/08/2025 with the cited cash amounts.

These disclosures are procedural: they permit resale under federal rules and provide transparency about timing and size. Cash-flow treatment is explicit for the two completed transactions via the listed proceeds; the proposed sales are notices of intent and not confirmations of execution.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did AXTI disclose in this Form 144?

AXT Inc. disclosed proposed resale of performance stock awards of 27,949, 5,501, 98,137, and 27,949 shares dated between 10/28/2025 and 11/11/2025. It also lists recent insider sales by Morris S. Young.

Who reported insider sales in the AXTI filing?

Morris S. Young reported two sales: 35,000 shares on 12/04/2025 for $421,652.00 and 37,160 shares on 12/08/2025 for $462,909.55. These amounts are shown in the filing.

Do the Form 144 entries confirm share sales have occurred?

The filing records two completed insider sales with dates and proceeds, confirming those transactions. The listed performance award entries are notices of proposed resale tied to award dates and do not by themselves confirm sale execution.

What types of securities are covered in AXTI's Form 144?

The document covers common shares associated with performance stock awards and prior sales of common stock. Each award line lists the award date and share count as disclosed in the filing.

Where were the insider sales executed and for how much?

The filing shows proceeds for two sales by Morris S. Young: $421,652.00 on 12/04/2025 for 35,000 shares and $462,909.55 on 12/08/2025 for 37,160 shares; venue details are not included in the excerpt.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/02/2026 - 04:09 PM 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	0001078582
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	AXT INC
SEC File Number	000-24085
Address of Issuer	4281 TECHNOLOGY DR. FREMONT CALIFORNIA 94538
Phone	510.438.4734
Name of Person for Whose Account the Securities are To Be Sold	YOUNG MORRIS S
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	Officer

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	Needham and Company LLC 250 Park Avenue, 10th Floor New York NY 10017	159536	6911466.45	46623170	03/02/2026	NASDAQ

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	10/28/2025	Performance Stock Award	AXT Inc.			27949	10/28/2025	Equity Compensation
Common	10/29/2025	Performance Stock Award	AXT Inc.			5501	10/29/2025	Equity Compensation
Common	11/10/2025	Performance Stock Award	AXT Inc.			98137	11/10/2025	Equity Compensation
Common	11/11/2025	Performance Stock Award	AXT Inc.			27949	11/11/2025	Equity Compensation

* 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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Morris S Young 4281 Technology Dr. Freemont CA 94538	Common	12/04/2025	35000	421652.00
Morris S Young 4281 Technology Dr. Freemont CA 94538	Common	12/08/2025	37160	462909.55

144: Remarks and Signature

Remarks
Date of Notice	03/02/2026
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	/s/Needham and Company LLC, on behalf of Morris S. Young
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)