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. 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.
AXT Inc. Schedule 13G/A (Amendment No. 2) reports beneficial ownership by Cleveland Capital Management, L.L.C., Cleveland Capital, L.P., and associated persons. The filing lists 570,000 shares held by Cleveland Capital entities and 588,210 shares held by Wade Massad, representing 1.0% and 1.1% of the class, respectively. The filing states these securities are owned by an advisory client of Cleveland Capital Management and by one of its control persons. The cover identifies the security as Common Stock, par value $0.001 (CUSIP 00246W103) and includes the firm address in Rocky River, OH.
AXT Inc. reported that Marex Securities Products, Inc. and Marex Group plc disclosed beneficial ownership of 4,005,709 shares of common stock, representing 7.21% of the class. The filing states the reporting entities have sole voting and sole dispositive power over all 4,005,709 shares. The address and CUSIP 00246W103 are included in the filing.
AXT Inc. CEO Morris S. Young reported two charitable gifts of the company’s common stock made through the Young Family Trust. On May 1, 2026, the trust gifted 7,500 shares to a donor advised fund and 6,500 shares to a charitable foundation, for a total of 14,000 shares at a stated price of $0.00 per share, reflecting bona-fide gifts rather than market sales. These transfers are explicitly permitted under a lock-up agreement related to an underwritten public offering and that lock-up runs until June 20, 2026. After the gifts, Young continues to hold 2,268,828 shares of AXT common stock indirectly through the Young Family Trust.
AXT, Inc. reported first quarter 2026 results showing stronger revenue and a much smaller loss. Revenue reached $26.9 million, up from $19.4 million a year earlier, while the net loss attributable to AXT narrowed to $1.6 million from $8.8 million.
Gross profit improved to $8.0 million from a loss, and non-GAAP net loss was $0.6 million. Management highlighted a recently completed $632.5 million capital raise to fund Tongmei’s indium phosphide capacity expansion and new products such as 6‑inch indium phosphide substrates, targeting AI-focused data centers.
On the balance sheet, total assets were $444.6 million and AXT held $41.8 million in cash and cash equivalents plus $65.4 million in short-term investments as of March 31, 2026. The company continues to pursue a STAR Market IPO for its Tongmei subsidiary in China.
Jane Street Group and affiliated entities reported beneficial ownership of 4,781,751 shares of AXT Inc. The filing is an amended Schedule 13G/A showing Jane Street Group’s shared voting and dispositive power over 4,781,751 shares, equal to 7.5% of the class as of the cover information.
The filing breaks down affiliated holdings: Jane Street Capital, LLC reports 4,028,992 shares (6.3%), Jane Street Global Trading, LLC reports 752,759 shares (1.2%), and Jane Street Options, LLC reports 0 shares. The report is signed by Jeremy Kahn on 04/29/2026.