AXT Inc. (AXTI) affiliate lists multiple proposed share sales with Needham as broker

Rhea-AI Filing Summary

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.

Insights

Securities Compliance Analyst

Form 144 lists proposed insider sales with broker information and dated transaction rows.

The excerpt shows multiple listed dispositions by related parties, including share counts and aggregate dollar amounts for each dated sale. The filing names Needham and Company LLC as broker-dealer and identifies the securities as Common stock linked to equity compensation.

Timing and exact execution mechanics are not provided beyond the listed dates; subsequent transaction-level confirmations would appear in trading reports or Form 4 filings if and when sales occur.

Key Figures

Sale on 03/02/2026: 159,536 shares Sale on 03/09/2026: 125,893 shares Sale on 06/01/2026: 73,897 shares +4 more

7 metrics

Sale on 03/02/2026 159,536 shares aggregate $6,911,466.45

Sale on 03/09/2026 125,893 shares aggregate $4,596,655.57

Sale on 06/01/2026 73,897 shares aggregate $8,305,335.56

Sale on 03/10/2026 (Trust) 30,832 shares aggregate $1,409,908.37

Sale on 06/02/2026 11,806 shares aggregate $1,344,339.77

Sale on 03/13/2026 37,905 shares aggregate $1,938,018.20

Sale on 03/06/2026 8,300 shares aggregate $329,063.46

Key Terms

Form 144, Performance Stock Award, Equity Compensation

3 terms

Form 144 regulatory

"Filer Information | 144: Filer Information"

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.

Performance Stock Award financial

"Performance Stock Award | AXT Inc. | 10/28/2022"

Equity Compensation financial

"10/28/2022 | Equity Compensation"

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.

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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	Needham and Company LLC 250 Park Avenue, 10th Floor New York NY 10017	111795	12663243.24	65423184	06/02/2026	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	10/28/2022	Performance Stock Award	AXT Inc.			111795	10/28/2022	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	03/02/2026	159536	6911466.45
Morris S Young 4281 Technology Dr. Freemont CA 94538	Common	03/06/2026	8300	329063.46
Morris S Young 4281 Technology Dr Freemont CA 94538	Common	03/09/2026	125893	4596655.57
Young Family Trust 4281 Technology Dr Freemont CA 94538	Common	03/10/2026	30832	1409908.37
Morris S. Young 4281 Technology Dr, Freemont CA 94538	common	03/13/2026	37905	1938018.20
Morris S. Young 4281 Technology Dr Freemont CA 94538	Common	06/01/2026	73897	8305335.56
Morris S. Young 4281 Technology Dr Freemont CA 94538	Common	06/02/2026	11806	1344339.77

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 sales does AXT Inc. (AXTI) Form 144 report?

The filing reports multiple proposed sales by Morris S. Young and the Young Family Trust on dates from 03/02/2026 to 06/02/2026. It lists share counts and aggregate dollar amounts for each dated transaction in the excerpt.

Who is the broker listed on the AXT Inc. Form 144?

Needham and Company LLC is named as the broker, with an address at 250 Park Avenue, 10th Floor, New York, NY. The filing shows the broker line alongside the securities and dollar totals in the excerpt.

Which holder names appear on the Form 144 for AXTI?

The excerpt lists Morris S. Young and Young Family Trust as the reporting holders. Each entry includes a street address and specific dated sale rows with shares and corresponding dollar amounts in the provided text.

Are the reported transactions tied to equity compensation for AXTI?

Yes — the excerpt links the securities to equity compensation, noting a Performance Stock Award dated 10/28/2022. The sales rows are presented under equity compensation-related securities in the excerpt.

Do the Form 144 entries confirm completed sales for AXTI shares?

The Form 144 lists proposed or reported dispositions on specific dates with share counts and dollar amounts; it does not itself confirm final settlement. Execution confirmation would appear in subsequent trading records or other SEC filings if provided.