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.
AXT, Inc. reported a change in the status and role of director Leonard J. LeBlanc. The board determined on January 26, 2026 that Mr. LeBlanc is now independent under Nasdaq Listing Rules, after previously serving as a non-independent director under a limited exception.
The board had already found that he meets all independence requirements for audit committee service under SEC Rule 10A‑3 and Nasdaq rules, and has designated him as an “audit committee financial expert”. Following this new independence determination, the company’s Audit Committee now consists of three independent directors, and Mr. LeBlanc has been appointed Chair, replacing Mr. Jesse Chen in that role. Mr. Chen remains a member of the Audit Committee. Mr. LeBlanc will receive an annual cash retainer of $20,000 for serving as Audit Committee Chair.
AXT, Inc. filed a current report describing an update to its expected results for the fourth quarter of 2025. On January 8, 2026, the company issued a press release that revised its revenue expectations for the quarter ended December 31, 2025 and announced the planned date for its upcoming earnings release.
The filing states that the press release contains certain unaudited financial information for the fourth quarter. This information, included as Exhibit 99.1, is being furnished rather than filed, which limits how it is treated under securities laws. No detailed financial figures are included in the text of the report itself.
AXT Inc's CEO filed a Form 4 reporting an insider stock gift. On 12/09/2025, a transaction coded “G” transferred 7,800 shares of common stock at a price of $0.
After this transaction, a total of 2,450,604 AXT Inc common shares were beneficially owned indirectly through the Young Family Trust DTD. The filing was made by one reporting person and signed by attorney-in-fact Jeff Sensiba.
AXT Inc. (AXTI) CEO reported charitable-style transfers of company stock in a Form 4 filing. On 11/21/2025, the reporting person made two transactions coded as gifts, disposing of 12,000 shares and 3,000 shares of AXT common stock at a reported price of $0 per share.
After these transactions, the reporting person beneficially owned 2,461,360 shares of AXT common stock indirectly through the Young Family Trust DTD. The filing is an ownership disclosure and does not describe any change in the company’s operations or financial performance.
AXT Inc. (AXTI) CEO stock sale reported
The CEO of AXT Inc. reported selling 33,130 shares of the company’s common stock on 11/17/2025. The sale is coded as transaction type “S,” which indicates an open-market or private sale transaction. The weighted average sale price was $10.395 per share, with individual trades executed between $10.15 and $10.81 per share.
After this transaction, the reporting person beneficially owns 2,476,360 shares of AXT common stock in direct ownership form. The filer notes that detailed trade information for each price level is available upon request by regulators, the company, or its shareholders.
AXT Inc. (AXTI) CEO stock transaction: The company’s chief executive officer reported exercising stock options for 70,000 shares of common stock on 11/14/2025 at an exercise price of $5.21 per share. These options were originally granted on 10/28/2016 and first became exercisable on 10/28/2017. Following this transaction, the CEO directly beneficially owns 2,509,490 shares of AXT common stock and holds 621,953 stock options for common shares.
AXT Inc (AXTI) disclosed an insider transaction on a Form 4: the CFO sold 101,297 shares of common stock on 11/13/2025 at a weighted average price of $10.138, with individual trades between $10.05 and $10.28. After these sales, the reporting person beneficially owned 361,997 shares, held directly. The filing states full trade-by-trade details are available upon request.
AXT, Inc. reported Q3 2025 results showing year-over-year improvement in the quarter but weaker performance year to date. Revenue was $27.955 million versus $23.645 million a year ago, and gross profit rose to $6.224 million from $5.682 million. The net loss attributable to AXT narrowed to $1.906 million from $2.937 million, or ($0.04) per share compared with ($0.07). For the nine months, revenue was $65.285 million versus $74.256 million, and the net loss widened to $17.712 million.
Cash and cash equivalents were $23.110 million with $8.100 million of restricted cash. Inventories declined to $77.656 million, while accounts receivable increased to $33.837 million. Short‑term loans rose to $61.547 million. Total assets were $334.034 million, and total stockholders’ equity was $202.345 million. AXT remains the controlling stakeholder of Tongmei; noncontrolling and redeemable noncontrolling interests together were approximately 14.5% as of September 30, 2025. The company’s investment in Jia Mei was $702,000 after a fair value loss and subsequent gain recognized during Q2–Q3.
AXT Inc. (AXTI) reported an insider transaction on Form 4. A director sold 3,637 shares of common stock on 11/07/2025 at $8.41 per share.
Following the sale, the reporting person directly owns 118,875 shares. The filing was signed by attorney-in-fact Jeff Sensiba on 11/10/2025.
AXT, Inc. filed an S-3 shelf registration to offer up to $100,000,000 of securities from time to time after effectiveness. The mixed shelf may include common stock, preferred stock, debt securities, depositary shares, warrants, subscription rights, purchase contracts and units, with specific terms to be set in future supplements.
AXT’s common stock trades on the Nasdaq Global Select Market under the symbol AXTI. AXT states it believes no PRC central government permissions are required to complete this offering, while noting its manufacturing is conducted by PRC subsidiaries and joint ventures and highlighting related legal and operational risks. Unless otherwise specified in a supplement, net proceeds will be used for working capital and general corporate purposes. Securities may be sold directly or via agents, underwriters or dealers, with pricing determined at the time of each offering. The company does not anticipate paying cash dividends and qualifies as a smaller reporting company.