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.
The AXT, Inc. (AXTI) SEC filings page brings together the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. As a Nasdaq-listed issuer, AXT submits periodic and current reports that describe its financial condition, operations and material events related to its business of developing and manufacturing compound and single element semiconductor substrate wafers.
Through this page, investors can access annual reports on Form 10-K and quarterly reports on Form 10-Q, which provide detailed financial statements, management discussion and analysis, and information about AXT’s substrate products based on indium phosphide, gallium arsenide and germanium. These filings also describe risk factors, business segments, manufacturing footprint in China and the role of its subsidiary Beijing Tongmei Xtal Technology Co., Ltd.
AXT’s current reports on Form 8-K document material events such as quarterly earnings announcements, preliminary revenue ranges, export control developments affecting indium phosphide and gallium arsenide shipments, capital-raising transactions under its Form S-3 shelf registration statement, and corporate governance matters including board changes and Nasdaq listing rule compliance. Some 8-Ks incorporate press releases as exhibits, giving additional context to the headline events.
Investors can also review registration statements and prospectus supplements related to AXT’s public offerings of common stock, which outline the terms of the offerings and the company’s stated use of proceeds, including plans to increase manufacturing capacity at Tongmei, fund research and development and support general corporate purposes.
On Stock Titan, AI-powered tools summarize lengthy filings, highlight key sections and help explain complex topics such as revenue drivers, export control impacts, capital structure changes and audit committee disclosures. Real-time updates from EDGAR ensure that new AXTI filings, including Forms 10-K, 10-Q, 8-K and registration-related documents, are available promptly, while insider transaction reports on Form 4 can be monitored alongside these core filings.
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.
Jane Street Group reports passive ownership in AXT Inc. The filing discloses ownership of 2,837,432 shares of AXT Inc. common stock, representing 5.1% of the class, with shared voting and dispositive power reported. The report lists related entities Jane Street Capital, LLC, Jane Street Options, LLC, and Jane Street Global Trading, LLC as filers and identifies shared control among them.
AXT, Inc. is offering 8,560,311 shares of common stock pursuant to this prospectus supplement, with a 30-day option to purchase up to 1,284,046 additional shares. The public offering price is $64.25 per share, with estimated gross proceeds of $550.0M before underwriting discounts and expected delivery on or about April 22, 2026, subject to customary closing conditions. Net proceeds are intended to support subsidiary Tongmei’s InP capacity expansion, R&D, working capital and general corporate purposes. The prospectus highlights export-permit risks for indium phosphide substrates from China and notes that permits to ship to the United States are in final stages of review.
AXT, Inc. entered into an underwriting agreement for a public offering of 8,560,311 shares of common stock at $64.25 per share, targeting gross proceeds of about $550 million before expenses. Underwriters have a 30-day option to buy up to 1,284,046 additional shares, which would raise total gross proceeds to roughly $632.5 million.
The cash is intended mainly to fund Beijing Tongmei Xtal Technology Co., Ltd. as it expands indium phosphide substrate capacity, along with research and development, working capital and general corporate purposes. A 60-day lock-up applies to directors and executive officers, and the deal uses AXT’s automatic shelf registration on Form S-3.
AXT, Inc. released preliminary estimates for its results for the three months ended March 31, 2026. The Company anticipates revenue between $26 million and $28 million. It expects a net loss attributable to the Company between $1.6 million and $2.6 million, or a basic and diluted net loss per share between $0.03 and $0.05. These figures are based on management’s initial review and may change once full financial closing procedures are completed and the formal Form 10-Q is issued.
AXT, Inc. is offering shares of its common stock under an automatic shelf registration, via a preliminary prospectus supplement dated April 20, 2026, to certain institutional investors. The offering is subject to completion and customary closing conditions.
The company states the net proceeds will be used to support its PRC subsidiary Tongmei’s capacity expansion for indium phosphide substrates for export, for research and development, and for working capital and general corporate purposes. AXT notes all manufacturing is performed in the PRC by its PRC subsidiaries and joint ventures, and it transfers cash within the corporate structure via capital contributions, royalties/fees, transfer-pricing purchases, and dividends.
AXT discloses that Tongmei has obtained export permits for indium phosphide shipments to Europe, Japan, the UK and Canada; U.S. export permits are in final review but not yet issued. The supplement highlights legal and operational risks tied to PRC regulations, export controls including the revised Foreign Trade Law, and cautions that export-permit timing could affect revenue recognition under U.S. GAAP.
AXT, Inc. filed a Form S-3 shelf registration to permit the sale, from time to time, of common stock, warrants and units. The prospectus describes general terms and states that specific amounts, prices and net proceeds will be set in prospectus supplements. The company notes all manufacturing occurs in the People’s Republic of China through PRC subsidiaries and joint ventures and discloses supply‑chain, dividend and PRC regulatory risk information.
AXT, Inc. is asking stockholders to approve several key items at its May 14, 2026 annual meeting, including electing two Class I directors, an advisory vote on executive pay, ratifying BPM LLP as auditor, and an amendment to increase authorized common stock from 70,000,000 to 120,000,000 shares.
Holders of 55,578,599 shares of common stock as of March 20, 2026 can vote in person or by proxy, with most materials delivered online to reduce costs. The board, led by CEO and Chair Dr. Morris Young and lead independent director Jesse Chen, highlights its independent committees, performance‑linked cash bonuses and performance‑based restricted stock awards, and recommends voting FOR all proposals, including the adjournment authority if more time is needed to secure approval of the share increase.