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.
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he exercised options for a total of 85,703 shares of common stock at an exercise price of $5.21 per share, from grants originally made on October 28, 2016 that are now fully vested.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.
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.
AXT INC disclosure: E20 Capital Limited reports beneficial ownership of 2,586,756 shares of AXT Inc. common stock, representing 5.5% of the class. The filing lists sole voting and dispositive power over these shares and includes CUSIP 00246W103. The signature block shows a signing date of 05/18/2026 and the form references 11/21/2025.
AXT, Inc. disclosed that its 2026 Annual Meeting of Stockholders was convened on May 14, 2026 but adjourned without conducting business because the required quorum was not reached. The meeting is scheduled to reconvene on June 4, 2026 at the company’s Fremont, California headquarters, with the record date remaining March 20, 2026.
The company notes that proxies had been submitted for approximately 48% of outstanding common shares entitled to vote. AXT has engaged proxy solicitor Alliance Advisors to help gather additional votes and will continue soliciting proxies, while previously submitted votes remain valid unless changed by stockholders.
AXT, Inc. reports a much stronger quarter, though it remains unprofitable. For the three months ended March 31, 2026, revenue rose to $26.9 million from $19.4 million, driven mainly by higher substrate sales. Gross profit improved to $8.0 million after a prior-period gross loss, and the net loss attributable to AXT narrowed to $1.6 million (basic and diluted loss per share of $0.03, versus $0.20 a year earlier).
Total assets were $444.6 million, with cash, restricted cash and short‑term investments of $123.2 million. Operating cash flow was negative $11.7 million, reflecting higher receivables and inventory as the business scales. Short‑term loans increased to $68.9 million, partly funding expansion projects in China.
After quarter‑end, AXT completed an underwritten public offering of 9.84 million common shares at $64.25 per share, generating approximately $632.5 million in gross proceeds before fees. This significantly enlarges its capital base for capacity expansion and ongoing investments while it continues to pursue listing its Tongmei subsidiary on China’s STAR Market.