AXTI affiliate files multiple March 2026 stock sales

AXTI reported affiliate sales of common stock by Jesse Chen.

Rhea-AI Filing Summary

AXTI reported affiliate sales of common stock by Jesse Chen. The notice lists multiple transactions executed in March 2026, including sales on 03/02/2026 through 03/13/2026 with individual lots such as 11,320 shares for $516,116.10 and 15,000 shares for $706,940.00.

Insights

Securities Compliance Analyst

TL;DR: Multiple affiliate sales by Jesse Chen are disclosed across March 2026.

These entries are structured as a Form 144 notice listing proposed or completed sales by an affiliate, with specific trade dates and dollar amounts. The record-style disclosure lists each lot with shares and gross proceeds, which is standard for Section 144 reporting.

The filing does not state aggregate totals or the cash‑flow recipient beyond the seller entries; subsequent SEC filings or trading reports would show settlement details if required.

Key Figures

Sale example 1: 11,320 shares for $516,116.10 Sale example 2: 11,007 shares for $445,694.40 Sale example 3: 15,000 shares for $706,940.00 +2 more

5 metrics

Sale example 1 11,320 shares for $516,116.10 03/02/2026 listed sale

Sale example 2 11,007 shares for $445,694.40 03/03/2026 listed sale

Sale example 3 15,000 shares for $706,940.00 03/11/2026 listed sale

Sale example 4 6,003 shares for $293,871.50 03/12/2026 listed sale

Sale example 5 12,452 shares for $469,334.50 03/09/2026 listed sale

Key Terms

Form 144, affiliate sales, equity compensation

3 terms

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

affiliate sales regulatory

"144: Securities Sold During The Past 3 Months Jesse Chen"

equity compensation financial

"Equity Compensation | Issuer | 10/28/2003"

Equity compensation is pay given to employees, executives or contractors in the form of company ownership—such as stock, stock options or restricted shares—rather than just cash. It matters to investors because it can align workers' incentives with shareholders (like paying someone in slices of the same pie they help grow), but it also increases the number of shares outstanding and company expenses, affecting ownership percentages and earnings per share.

FAQ

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

What transactions does AXTI (AXTI) disclose in this Form 144?

The filing lists multiple affiliate sales by Jesse Chen executed between 03/02/2026 and 03/13/2026. Examples include 11,320 shares for $516,116.10 and 15,000 shares for $706,940.00 as shown in the notice.

Who is the reporting party in the AXTI Form 144?

The Form 144 identifies Jesse Chen at the listed address as the seller. The notice provides his sequence of dated transactions and per‑lot share counts and gross proceeds for March 2026.

Do the AXTI entries show total aggregate shares sold or proceeds?

The excerpt provides individual lot sizes and proceeds for each date but does not present a single aggregate total. Individual line items like 12,452 shares for $469,334.50 are listed; no summed total appears in the provided content.

Are the AXTI sales described as issuer transactions or open‑market trades?

The notice lists the seller and per‑lot trade dates with proceeds but does not label the sale method in the excerpt. The content shows executed lots and dollar amounts without specifying distribution method.

Which dates contain sales reported in AXTI's Form 144 excerpt?

Sales shown in the excerpt occurred on 03/02/2026, 03/03/2026, 03/04/2026, 03/05/2026, 03/06/2026, 03/09/2026, 03/10/2026, 03/11/2026, 03/12/2026, and 03/13/2026 as listed.

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

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Accepted by SEC EDGAR 06/01/2026 - 12:56 PM EDT 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	0001268534
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	CHEN JESSE
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	Director

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	Charles Schwab Corp 3000 Schwab Way Westlake TX 76262	109526	11594422.00	65423184	06/01/2026	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	10/28/2003	Equity Compensation	Issuer			101193	10/28/2003	Services Rendered
Common	09/08/2005	Stock Grant	Issuer			8333	09/08/2005	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
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/02/2026	11320	516116.10
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/03/2026	11007	445694.40
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/04/2026	8800	341684.00
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/05/2026	11147	426510.20
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/06/2026	2000	73260.00
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/09/2026	12452	469334.50
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axti Inc.	03/10/2026	14000	646105.00
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/11/2026	15000	706940.00
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/12/2026	6003	293871.50
Jesse Chen 20010 Spaich Ct Saratoga CA 95070	Axt Inc.	03/13/2026	8083	406167.90

144: Remarks and Signature

Remarks	101,193 shares were acquired from 10/28/03 to 5/27/26
Date of Notice	06/01/2026
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	Jesse Chen
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)