AXTI Depositi SEC - AXT, Inc.- Relazione annuale, dichiarazione di delega, prospetto informativo

Statistiche di base

LEI	549300M2142IVLVIJN37
CIK	1051627

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to AXT, Inc.

SEC Filings (Chronological Order)

Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.

August 19, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2025 AXT, INC. (Exact UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number)
August 13, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2025 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT, INC. (
August 4, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 AXT, INC. (Exact na UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (I
July 31, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2025 AXT, INC. (Exact na UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (I
July 31, 2025	EX-99.1	AXT, Inc. Announces Second Quarter 2025 Financial Results Exhibit 99.1 AXT, Inc. Second Quarter 2025 Results July 31, 2025 Page 1 of 6 AXT, Inc. Announces Second Quarter 2025 Financial Results FREMONT, Calif., July 31, 2025 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the second quarter, ended June 30, 2025. Management Qualitative Comments “Our substrate revenue incr
July 24, 2025	8-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commis
July 23, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2025 AXT, INC. (Exact na UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (I
July 18, 2025	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (I
July 9, 2025	EX-99.1	AXT, Inc. Announces a Preliminary Revenue Range for Second Quarter 2025 Second Quarter 2025 Earnings Announcement Scheduled for July 31, 2025 Exhibit 99.1 FOR IMMEDIATE RELEASE Contacts: Gary Fischer Chief Financial Officer [email protected] Leslie Green Green Communications Consulting, LLC [email protected] AXT, Inc. Announces a Preliminary Revenue Range for Second Quarter 2025 Second Quarter 2025 Earnings Announcement Scheduled for July 31, 2025 FREMONT, Calif., July 9, 2025 – AXT, Inc. (NasdaqGS: AXTI), a leading manuf
July 9, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2025 AXT, INC. (Exact nam UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IR
June 11, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2025 AXT, INC. (Exact na UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (I
May 27, 2025	EX-FILING FEES	Filing Fee Table Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) AXT, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Type Fee Calculation Rate Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock,
May 27, 2025	S-8	As filed with the Securities and Exchange Commission on May 27, 2025 As filed with the Securities and Exchange Commission on May 27, 2025 Registration No.
May 16, 2025	EX-10.1	2025 Equity Incentive Plan EXHIBIT 10.1 AXT, INC. 2025 EQUITY INCENTIVE PLAN 1. Introduction (a) Purposes of the Plan. The purposes of this Plan are to (a) attract and retain the best available personnel for positions of substantial responsibility, (b) provide additional incentive to Employees, Directors and Consultants, (c) promote the success of the Company’s business, and (d) replace the AXT, Inc. 2015 Equity Incentive P
May 16, 2025	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IR
May 14, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2025 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT, INC
May 1, 2025	EX-99.1	AXT, Inc. Announces First Quarter 2025 Financial Results Y Exhibit 99.1 AXT, Inc. First Quarter 2025 Results May 1, 2025 Page 1 of 7 AXT, Inc. Announces First Quarter 2025 Financial Results FREMONT, Calif., May 1, 2025 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the first quarter, ended March 31, 2025. Management Qualitative Comments “While the geopolitical environ
May 1, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IRS
April 3, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin
April 3, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ⌧ Defin
March 14, 2025	EX-10.8	Form of Capital Increase Agreement between Beijing Tongmei Xtal Technologies Co., Ltd. and certain investors Exhibit 10.8 Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 CONTENTS Article 1 Definitions and Interpretation 4 Article 2 Capital Increase 7 Article 3 Undertakings, Representations and Warrants 10 Article 4 Termination of Agreement 11 Article 5
March 14, 2025	EX-10.16	Letter of Commitment on Filling the Diluted Spot Return Exhibit 10.16 关于填补被摊薄即期回报的承诺函 Letter of Commitment on Filling the Diluted Spot Return 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、法规和中国证券监督管理委员会的有关规定，就填补被摊薄即期回报事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Bo
March 14, 2025	EX-4.1	Description of Securities Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 DESCRIPTION OF CAPITAL STOCK The following information describes our common stock and preferred stock, as well as certain provisions of our restated certificate of incorporation, as amended (the “certificate of incorporation”), and second amended and restated bylaws, as a
March 14, 2025	EX-10.9	Form of First Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.9 Supplementary Agreement to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 Supplementary Agreement to Capital Increase Agreement The Supplementary Agreement to the Capital Increase Agreement (hereinafter referred to as the “Suppleme
March 14, 2025	EX-10.14	Letter of Commitment on Share Repurchase for Fraudulent Listing Exhibit 10.14 关于欺诈发行上市的股份购回的承诺函 Letter of Commitment on Share Repurchase for Fraudulent Listing 鉴于北京通美晶体技术股份有限公司（以下简称“公司”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），公司及公司控股股东承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referr
March 14, 2025	EX-10.17	Letter of Commitment on Restraint Measures for Nonperformance of the Commitments Exhibit 10.17 关于未履行承诺的约束措施的承诺函 Letter of Commitment on Restraint Measures for Nonperformance of the Commitments 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Boar
March 14, 2025	EX-10.10	Form of Second Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.10 Supplementary Agreement II to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. And AXT, INC. January 2021 Supplementary Agreement II to Capital Increase Agreement The Supplementary Agreement II to the Capital Increase Agreement (hereinafter referred to as the
March 14, 2025	EX-10.18	Letter of Commitment on Avoiding Horizontal Competition Exhibit 10.18 关于避免同业竞争的承诺函 Letter of Commitment on Avoiding Horizontal Competition 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，现依据相关法律、行政法规和中国证券监督管理委员会的有关规定，就避免与发行人的主营业务产生同业竞争事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Tec
March 14, 2025	EX-97.1	Compensation Recovery Policy Exhibit 97.1 AXT, INC. COMPENSATION RECOVERY POLICY As adopted on November 8, 2023 AXT, Inc. (the “Company”) is committed to strong corporate governance. As part of this commitment, the Company’s Board of Directors (the “Board”) has adopted this clawback policy called the Compensation Recovery Policy (the “Policy”). The Policy is intended to further the Company’s pay-for-performance philosophy and
March 14, 2025	EX-19.1	Insider Trading Policy ‌Exhibit 19.1 AXT, INC. INSIDER TRADING POLICY I. Trading in Company Securities While in Possession of Material Nonpublic Information is Prohibited The purchase or sale of securities by any person who possesses material nonpublic information is a violation of federal and state securities laws. Furthermore, it is important that the appearance, as well as the fact, of trading on the basis of materia
March 14, 2025	EX-10.9_A	Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.12 hereto Exhibit 10.9(a) Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.9 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Investmen
March 14, 2025	EX-10.15	Letter of Commitment on No False Records, Misleading Statements or Major Omissions in the Prospectus Exhibit 10.15 关于招股说明书不存在虚假记载、误导性陈述或者重大遗漏的承诺函 Letter of Commitment on No False Record, Misleading Statement or Major Omission in the Prospectus 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，特此承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Scien
March 14, 2025	EX-10.22	Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC Exhibit 10.22 关于股东信息披露及证监会离职人员核查事项之专项承诺函 Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC 鉴于北京通美晶体技术股份有限公司（以下简称“公司”或“北京通美”）申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），根据中国证监会《监管规则适用指引—关于申请首发上市企业股东信息披露》《监管规则适用指引——发行类第2号》以及上海证券交易所的相关规定，本企业作为北京通美的股东，特此作出如下声明和承诺： Given that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as "th
March 14, 2025	EX-10.8_A	Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.11 hereto Exhibit 10.8(a) Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.8 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Investment
March 14, 2025	EX-10.10_A	Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.13 hereto Exhibit 10.10(a) Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.10 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Invest
March 14, 2025	EX-10.11	Letter of Commitment on Share Lock-up Exhibit 10.11 关于股份锁定的承诺函 Letter of Commitment on Share Lock-up 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，现就所持发行人股份的锁定及减持事项承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to make an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referred to as “this Lis
March 14, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-24
March 14, 2025	EX-10.21	Statement and Letter of Commitment Exhibit 10.21 声明与承诺函 Statement and Letter of Commitment 鉴于北京通美晶体技术股份有限公司（以下简称“北京通美”或“公司”）拟申请首次公开发行股票并在科创板上市，本企业作为北京通美的控股股东，就以下事项声明和承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “Beijing Tongmei” or “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board, our enterprise, as the control
March 14, 2025	EX-12.1	Computation of Ratio of Earnings to Fixed Charges Exhibit 12.1 COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Year Ended December 31, 2024 2023 2022 2021 2020 (in thousands) Earnings: Income (loss) before income taxes $ (10,657) $ (19,033) $ 20,927 $ 17,602 $ 7,072 Less: Equity in loss (earnings) of investees (3,439) (1,884) (5,957) (4,409) (111) Less: Pre-tax net income attributable to noncontrolling interest and redeemable noncontrolling int
March 14, 2025	EX-10.20	Letter of Commitment on Avoiding Illegal Guarantees Exhibit 10.20 关于避免资金占用和违规担保的承诺函 Letter of Commitment on Avoiding the Capital Occupation and Illegal Guarantee 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、行政法规和中国证券监督管理委员会的有关规定，为维护发行人及其他股东的合法权益，本企业确认及承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the S
March 14, 2025	EX-10.12	Letter of Commitment on the Shareholding Intention and Share Reduction Intention Exhibit 10.12 关于持股意向及减持意向的承诺函 Letter of Commitment on the Shareholding Intention and Share Reduction Intention 鉴于北京通美晶体技术股份有限公司（以下简称“公司”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为公司的控股股东，现就所持公司股份的持股意向及减持意向承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology
March 14, 2025	EX-21.1	List of Subsidiaries Exhibit 21.1 AXT, Inc. Subsidiaries State or Other Jurisdiction of Subsidiaries of the registrant* Incorporation Beijing Tongmei Xtal Technology Co., Ltd. China Nanjing Jin Mei Gallium Co., Ltd. China Beijing BoYu Semiconductor Vessel Craftwork Technology Co., Ltd. China *As of December 31, 2024. Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of other AXT, Inc. subsidiaries are omitt
March 14, 2025	EX-10.13	Letter of Commitment on Plan for Stabilizing Tongmei’s Stock Price within Three Years upon the Listing and the Restraint Measures Exhibit 10.13 关于上市后三年内稳定公司股价的预案及约束措施的承诺函 Letter of Commitment on Plan for Stabilizing the Company’s Stock Price within Three Years upon the Listing and the Restraint Measures 为维护北京通美晶体技术股份有限公司（以下简称“公司”）股票上市后股价的稳定，充分保护公司股东特别是中小股东的权益，公司特制定《北京通美晶体技术股份有限公司上市后三年内稳定公司股价的预案》（以下简称“《稳定股价的预案》”）。根据中国证券监督管理委员会（以下简称“中国证监会”）《关于进一步推进新股发行体制改革的意见》的要求，公司及其控股股东、在公司领取薪酬和/或津贴的董事（独立董事除外，下同）和高级管理人员承诺将严格遵守下述稳定公司股价的预案： In
March 14, 2025	EX-10.19	Letter of Commitment on Regulating and Reducing Related Party Transactions Exhibit 10.19 关于规范并减少关联交易的承诺函 Letter of Commitment on Standardizing and Reducing the Related Transactions 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，为保证发行人业务的持续发展、规范关联交易行为，特此承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation
February 20, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2025 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number
February 20, 2025	EX-99.1	AXT, Inc. Announces Fourth Quarter and Fiscal Year 2024 Financial Results Year on Year Revenue Increases 31 Percent Y Exhibit 99.1 AXT, Inc. Fourth Quarter and Fiscal Year 2024 Results February 20, 2025 Page 1 of 7 AXT, Inc. Announces Fourth Quarter and Fiscal Year 2024 Financial Results Year on Year Revenue Increases 31 Percent FREMONT, Calif., February 20, 2025 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the fourth quart
November 12, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2024 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT,
October 31, 2024	EX-99.1	AXT, Inc. Announces Third Quarter 2024 Financial Results Y Exhibit 99.1 AXT, Inc. Third Quarter 2024 Results October 31, 2024 Page 1 of 7 AXT, Inc. Announces Third Quarter 2024 Financial Results FREMONT, Calif., October 31, 2024 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the third quarter, ended September 30, 2024. Management Qualitative Comments “Q3 came in large
October 31, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2024 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number)
October 17, 2024	SC 13G	AXTI / AXT, Inc. / Cleveland Capital Management, L.l.c. Passive Investment SC 13G 1 d1150201313g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AXT, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 00246W103 (CUSIP Number) October 10, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig
August 16, 2024	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) AXT, Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.001 per sh
August 16, 2024	S-8	As filed with the Securities and Exchange Commission on August 16, 2024 As filed with the Securities and Exchange Commission on August 16, 2024 Registration No.
August 9, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2024 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT, INC.
August 1, 2024	EX-99.1	AXT, Inc. Announces Second Quarter 2024 Financial Results Revenue up 23 percent sequentially and up 50 percent from Q2 2023 Y Exhibit 99.1 AXT, Inc. Second Quarter 2024 Results August 1, 2024 Page 1 of 7 AXT, Inc. Announces Second Quarter 2024 Financial Results Revenue up 23 percent sequentially and up 50 percent from Q2 2023 FREMONT, Calif., August 1, 2024 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the second quarter, ended June
August 1, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2024 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (
May 20, 2024	EX-10.1	2015 Equity Incentive Plan, as amended EXHIBIT 10.1 APPENDIX A: AXT 2015 EQUITY PLAN AXT, INC. 2015 EQUITY INCENTIVE PLAN 1.Purposes of the Plan. The purposes of this Plan are: ● to attract and retain the best available personnel for positions of substantial responsibility, ● to provide additional incentive to Employees, Directors and Consultants, ● to promote the success of the Company’s business, and ● to replace the Company’s 2007 E
May 20, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2024 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IR
May 10, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2024 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT, INC
May 2, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2024 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IRS
May 2, 2024	EX-99.1	AXT, Inc. Announces First Quarter 2024 Financial Results Revenue Grows 11% Quarter to Quarter; Indium Phosphide up 48% Y Exhibit 99.1 AXT, Inc. First Quarter 2024 Results May 2, 2024 Page 1 of 7 AXT, Inc. Announces First Quarter 2024 Financial Results Revenue Grows 11% Quarter to Quarter; Indium Phosphide up 48% FREMONT, Calif., May 2, 2024 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the first quarter, ended March 31, 2024. M
April 8, 2024	EX-99.1	AXT, Inc. Announces Preliminary First Quarter 2024 Revenue Results and Schedules Earnings Release for May 2, 2024 Exhibit 99.1 AXT, Inc. Updates Revenue Expectations for the First Quarter 2024 April 8, 2024 Page 1 of 2 AXT, Inc. Announces Preliminary First Quarter 2024 Revenue Results and Schedules Earnings Release for May 2, 2024 FREMONT, Calif., April 8, 2024 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today announced that it expects to report revenue in the ra
April 8, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 8, 2024 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (I
April 5, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin
April 5, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ⌧ Defin
March 15, 2024	EX-10.13(A)	Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.13 hereto Exhibit 10.13(a) Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.15 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Invest
March 15, 2024	EX-10.24	Statement and Letter of Commitment Exhibit 10.24 声明与承诺函 Statement and Letter of Commitment 鉴于北京通美晶体技术股份有限公司（以下简称“北京通美”或“公司”）拟申请首次公开发行股票并在科创板上市，本企业作为北京通美的控股股东，就以下事项声明和承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “Beijing Tongmei” or “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board, our enterprise, as the control
March 15, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-24
March 15, 2024	EX-10.12	Form of First Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.12 Supplementary Agreement to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 Supplementary Agreement to Capital Increase Agreement The Supplementary Agreement to the Capital Increase Agreement (hereinafter referred to as the “Supplem
March 15, 2024	EX-10.13	Form of Second Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.13 Supplementary Agreement II to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. And AXT, INC. January 2021 Supplementary Agreement II to Capital Increase Agreement The Supplementary Agreement II to the Capital Increase Agreement (hereinafter referred to as the
March 15, 2024	EX-10.18	Letter of Commitment on No False Records, Misleading Statements or Major Omissions in the Prospectus Exhibit 10.18 关于招股说明书不存在虚假记载、误导性陈述或者重大遗漏的承诺函 Letter of Commitment on No False Record, Misleading Statement or Major Omission in the Prospectus 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，特此承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Scien
March 15, 2024	EX-10.17	Letter of Commitment on Share Repurchase for Fraudulent Listing Exhibit 10.17 关于欺诈发行上市的股份购回的承诺函 Letter of Commitment on Share Repurchase for Fraudulent Listing 鉴于北京通美晶体技术股份有限公司（以下简称“公司”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），公司及公司控股股东承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referr
March 15, 2024	EX-10.19	Letter of Commitment on Filling the Diluted Spot Return Exhibit 10.19 关于填补被摊薄即期回报的承诺函 Letter of Commitment on Filling the Diluted Spot Return 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、法规和中国证券监督管理委员会的有关规定，就填补被摊薄即期回报事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Bo
March 15, 2024	EX-10.25	Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC Exhibit 10.25 关于股东信息披露及证监会离职人员核查事项之专项承诺函 Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC 鉴于北京通美晶体技术股份有限公司（以下简称“公司”或“北京通美”）申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），根据中国证监会《监管规则适用指引—关于申请首发上市企业股东信息披露》《监管规则适用指引——发行类第2号》以及上海证券交易所的相关规定，本企业作为北京通美的股东，特此作出如下声明和承诺： Given that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as "th
March 15, 2024	EX-97.1	Compensation Recovery Policy Exhibit 97.1 AXT, INC. COMPENSATION RECOVERY POLICY As adopted on November 8, 2023 AXT, Inc. (the “Company”) is committed to strong corporate governance. As part of this commitment, the Company’s Board of Directors (the “Board”) has adopted this clawback policy called the Compensation Recovery Policy (the “Policy”). The Policy is intended to further the Company’s pay-for-performance philosophy and
March 15, 2024	EX-10.23	Letter of Commitment on Avoiding Illegal Guarantees Exhibit 10.23 关于避免资金占用和违规担保的承诺函 Letter of Commitment on Avoiding the Capital Occupation and Illegal Guarantee 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、行政法规和中国证券监督管理委员会的有关规定，为维护发行人及其他股东的合法权益，本企业确认及承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the S
March 15, 2024	EX-10.21	Letter of Commitment on Avoiding Horizontal Competition Exhibit 10.21 关于避免同业竞争的承诺函 Letter of Commitment on Avoiding Horizontal Competition 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，现依据相关法律、行政法规和中国证券监督管理委员会的有关规定，就避免与发行人的主营业务产生同业竞争事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Tec
March 15, 2024	EX-10.11(A)	Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.11 hereto Exhibit 10.11(a) Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.13 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Investmen
March 15, 2024	EX-10.16	Letter of Commitment on Plan for Stabilizing Tongmei’s Stock Price within Three Years upon the Listing and the Restraint Measures Exhibit 10.16 关于上市后三年内稳定公司股价的预案及约束措施的承诺函 Letter of Commitment on Plan for Stabilizing the Company’s Stock Price within Three Years upon the Listing and the Restraint Measures 为维护北京通美晶体技术股份有限公司（以下简称“公司”）股票上市后股价的稳定，充分保护公司股东特别是中小股东的权益，公司特制定《北京通美晶体技术股份有限公司上市后三年内稳定公司股价的预案》（以下简称“《稳定股价的预案》”）。根据中国证券监督管理委员会（以下简称“中国证监会”）《关于进一步推进新股发行体制改革的意见》的要求，公司及其控股股东、在公司领取薪酬和/或津贴的董事（独立董事除外，下同）和高级管理人员承诺将严格遵守下述稳定公司股价的预案： In
March 15, 2024	EX-10.14	Letter of Commitment on Share Lock-up Exhibit 10.14 关于股份锁定的承诺函 Letter of Commitment on Share Lock-up 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，现就所持发行人股份的锁定及减持事项承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to make an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referred to as “this Lis
March 15, 2024	EX-10.11	Form of Capital Increase Agreement between Beijing Tongmei Xtal Technologies Co., Ltd. and certain investors Exhibit 10.11 Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 CONTENTS Article 1 Definitions and Interpretation 4 Article 2 Capital Increase 7 Article 3 Undertakings, Representations and Warrants 10 Article 4 Termination of Agreement 11 Article
March 15, 2024	EX-4.1	Description of Securities Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 DESCRIPTION OF CAPITAL STOCK The following information describes our common stock and preferred stock, as well as certain provisions of our restated certificate of incorporation, as amended (the “certificate of incorporation”), and second amended and restated bylaws, as a
March 15, 2024	EX-10.22	Letter of Commitment on Regulating and Reducing Related Party Transactions Exhibit 10.22 关于规范并减少关联交易的承诺函 Letter of Commitment on Standardizing and Reducing the Related Transactions 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，为保证发行人业务的持续发展、规范关联交易行为，特此承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation
March 15, 2024	EX-10.12(A)	Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.12 hereto Exhibit 10.12(a) Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.14 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Investm
March 15, 2024	EX-21.1	List of Subsidiaries Exhibit 21.1 AXT, Inc. Subsidiaries State or Other Jurisdiction of Subsidiaries of the registrant* Incorporation Beijing Tongmei Xtal Technology Co., Ltd. China Nanjing Jin Mei Gallium Co., Ltd. China Beijing BoYu Semiconductor Vessel Craftwork Technology Co., Ltd. China *As of December 31, 2023. Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of other AXT, Inc. subsidiaries are omitt
March 15, 2024	EX-10.20	Letter of Commitment on Restraint Measures for Nonperformance of the Commitments Exhibit 10.20 关于未履行承诺的约束措施的承诺函 Letter of Commitment on Restraint Measures for Nonperformance of the Commitments 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Boar
March 15, 2024	EX-12.1	Computation of Ratio of Earnings to Fixed Charges Exhibit 12.1 COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Year Ended December 31, 2023 2022 2021 2020 2019 (in thousands) Earnings: Income (loss) before income taxes $ (19,033) $ 20,927 $ 17,602 $ 7,072 $ (1,026) Less: Equity in loss (earnings) of investees (1,884) (5,957) (4,409) (111) 1,876 Less: Pre-tax net income attributable to noncontrolling interest and redeemable noncontrolling intere
March 15, 2024	EX-10.15	Letter of Commitment on the Shareholding Intention and Share Reduction Intention Exhibit 10.15 关于持股意向及减持意向的承诺函 Letter of Commitment on the Shareholding Intention and Share Reduction Intention 鉴于北京通美晶体技术股份有限公司（以下简称“公司”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为公司的控股股东，现就所持公司股份的持股意向及减持意向承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology
February 22, 2024	EX-99.1	AXT, Inc. Announces Fourth Quarter and Fiscal Year 2023 Financial Results Y Exhibit 99.1 AXT, Inc. Fourth Quarter and Fiscal Year 2023 Results February 22, 2024 Page 1 of 8 AXT, Inc. Announces Fourth Quarter and Fiscal Year 2023 Financial Results FREMONT, Calif., February 22, 2024 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the fourth quarter and fiscal year, ended December 31, 202
February 22, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2024 AXT, INC. (Exac UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2024 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number
February 13, 2024	SC 13G	AXTI / AXT, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: AXT Inc Title of Class of Securities: Common Stock CUSIP Number: 00246W103 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1(c) ☐
February 9, 2024	SC 13G/A	AXTI / AXT, Inc. / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10 )* AXT Inc (Name of Issuer) Common Stock (Title of Class of Securities) 00246W103 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate
November 9, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2023 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT,
November 2, 2023	EX-99.1	AXT, Inc. Announces Third Quarter 2023 Financial Results EX-99.1 2 axti-20231102xex99d1.htm EX-99.1 Y Exhibit 99.1 AXT, Inc. Third Quarter 2023 Results November 2, 2023 Page 1 of 7 AXT, Inc. Announces Third Quarter 2023 Financial Results FREMONT, Calif., November 2, 2023 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the third quarter, ended September 30, 2023. Manage
November 2, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number)
August 9, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2023 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT, INC.
August 3, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2023 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (
August 3, 2023	EX-99.1	AXT, Inc. Announces Second Quarter 2023 Financial Results Y Exhibit 99.1 AXT, Inc. Second Quarter 2023 Results August 3, 2023 Page 1 of 7 AXT, Inc. Announces Second Quarter 2023 Financial Results FREMONT, Calif., August 3, 2023 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the second quarter, ended June 30, 2023. Management Qualitative Comments “Though the macro envir
July 5, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 3, 2023 AXT, INC. (Exact nam UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 3, 2023 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IR
July 5, 2023	EX-99.1	AXT, Inc. Addresses China’s Announcement of New Export Control Regulations Announces Second Quarter Earnings Release on Aug. 3, 2023 FOR IMMEDIATE RELEASE Contacts: Gary L. Fischer Chief Financial Officer (510) 438-4700 Leslie Green Green Communications Consulting, LLC (650) 312-9060 AXT, Inc. Addresses China’s Announcement of New Export Control Regulations Announces Second Quarter Earnings Release on Aug. 3, 2023 FREMONT, Calif., July 3, 2023 – AXT, Inc. (Nasdaq: AXTI), a worldwide materials science company, today addressed th
May 22, 2023	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2023 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (IR
May 10, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2023 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT, INC
April 27, 2023	EX-99.1	AXT, Inc. Announces First Quarter 2023 Financial Results Y Exhibit 99.1 AXT, Inc. First Quarter 2023 Results April 27, 2023 Page 1 of 7 AXT, Inc. Announces First Quarter 2023 Financial Results FREMONT, Calif., April 27, 2023 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financial results for the first quarter, ended March 31, 2023. Management Qualitative Comments “As expected, revenue took a st
April 27, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 AXT, INC. (Exact n UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number) (
April 7, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ⌧ Defin
March 16, 2023	EX-10.18	Letter of Commitment on No False Records, Misleading Statements or Major Omissions in the Prospectus EX-10.18 13 axti-20221231xex10d18.htm EX-10.18 Exhibit 10.18 关于招股说明书不存在虚假记载、误导性陈述或者重大遗漏的承诺函 Letter of Commitment on No False Record, Misleading Statement or Major Omission in the Prospectus 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，特此承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (init
March 16, 2023	EX-10.14	Letter of Commitment on Share Lock-up Exhibit 10.14 关于股份锁定的承诺函 Letter of Commitment on Share Lock-up 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，现就所持发行人股份的锁定及减持事项承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to make an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referred to as “this Lis
March 16, 2023	EX-10.20	Letter of Commitment on Restraint Measures for Nonperformance of the Commitments Exhibit 10.20 关于未履行承诺的约束措施的承诺函 Letter of Commitment on Restraint Measures for Nonperformance of the Commitments 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Boar
March 16, 2023	EX-10.15	Letter of Commitment on the Shareholding Intention and Share Reduction Intention Exhibit 10.15 关于持股意向及减持意向的承诺函 Letter of Commitment on the Shareholding Intention and Share Reduction Intention 鉴于北京通美晶体技术股份有限公司（以下简称“公司”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为公司的控股股东，现就所持公司股份的持股意向及减持意向承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology
March 16, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-24
March 16, 2023	EX-10.19	Letter of Commitment on Filling the Diluted Spot Return Exhibit 10.19 关于填补被摊薄即期回报的承诺函 Letter of Commitment on Filling the Diluted Spot Return 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、法规和中国证券监督管理委员会的有关规定，就填补被摊薄即期回报事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Bo
March 16, 2023	EX-21.1	List of Subsidiaries Exhibit 21.1 AXT, Inc. Subsidiaries State or Other Jurisdiction of Subsidiaries of the registrant* Incorporation Beijing Tongmei Xtal Technology Co., Ltd. China Nanjing Jin Mei Gallium Co., Ltd. China Beijing BoYu Semiconductor Vessel Craftwork Technology Co., Ltd. China *As of December 31, 2022. Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of other AXT, Inc. subsidiaries are omitt
March 16, 2023	EX-10.12(A)	Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.12 hereto Exhibit 10.12(a) Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.14 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Investm
March 16, 2023	EX-10.12	Form of First Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.12 Supplementary Agreement to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 Supplementary Agreement to Capital Increase Agreement The Supplementary Agreement to the Capital Increase Agreement (hereinafter referred to as the “Supplem
March 16, 2023	EX-10.13	Form of Second Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.13 Supplementary Agreement II to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. And AXT, INC. January 2021 Supplementary Agreement II to Capital Increase Agreement The Supplementary Agreement II to the Capital Increase Agreement (hereinafter referred to as the
March 16, 2023	EX-12.1	COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Exhibit 12.1 COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Year Ended December 31, 2021 2020 2019 2018 2017 (in thousands) Earnings: Income (loss) before income taxes $ 17,602 $ 7,072 $ (1,026) $ 11,947 $ 10,853 Less: Equity in loss (earnings) of investees (4,409) (111) 1,876 1,080 1,694 Less: Pre-tax net (income) loss attributable to noncontrolling interest and redeemable noncontrolling inter
March 16, 2023	EX-10.13(A)	Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.13 hereto EX-10.13(A) 8 axti-20221231xex10d13a.htm EX-10.13(A) Exhibit 10.13(a) Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.15 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning
March 16, 2023	EX-10.17	Letter of Commitment on Share Repurchase for Fraudulent Listing Exhibit 10.17 关于欺诈发行上市的股份购回的承诺函 Letter of Commitment on Share Repurchase for Fraudulent Listing 鉴于北京通美晶体技术股份有限公司（以下简称“公司”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），公司及公司控股股东承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referr
March 16, 2023	EX-10.22	Letter of Commitment on Regulating and Reducing Related Party Transactions EX-10.22 17 axti-20221231xex10d22.htm EX-10.22 Exhibit 10.22 关于规范并减少关联交易的承诺函 Letter of Commitment on Standardizing and Reducing the Related Transactions 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，为保证发行人业务的持续发展、规范关联交易行为，特此承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be
March 16, 2023	EX-10.11(A)	Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.11 hereto Exhibit 10.11(a) Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.13 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Haitong New Energy Low-Carbon Industry Equity Investmen
March 16, 2023	EX-10.16	Letter of Commitment on Plan for Stabilizing Tongmei’s Stock Price within Three Years upon the Listing and the Restraint Measures Exhibit 10.16 关于上市后三年内稳定公司股价的预案及约束措施的承诺函 Letter of Commitment on Plan for Stabilizing the Company’s Stock Price within Three Years upon the Listing and the Restraint Measures 为维护北京通美晶体技术股份有限公司（以下简称“公司”）股票上市后股价的稳定，充分保护公司股东特别是中小股东的权益，公司特制定《北京通美晶体技术股份有限公司上市后三年内稳定公司股价的预案》（以下简称“《稳定股价的预案》”）。根据中国证券监督管理委员会（以下简称“中国证监会”）《关于进一步推进新股发行体制改革的意见》的要求，公司及其控股股东、在公司领取薪酬和/或津贴的董事（独立董事除外，下同）和高级管理人员承诺将严格遵守下述稳定公司股价的预案： In
March 16, 2023	EX-4.1	Description of Securities Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 DESCRIPTION OF CAPITAL STOCK The following information describes our common stock and preferred stock, as well as certain provisions of our restated certificate of incorporation, as amended (the “certificate of incorporation”), and second amended and restated bylaws, as a
March 16, 2023	EX-10.23	Letter of Commitment on Avoiding Illegal Guarantees EX-10.23 18 axti-20221231xex10d23.htm EX-10.23 Exhibit 10.23 关于避免资金占用和违规担保的承诺函 Letter of Commitment on Avoiding the Capital Occupation and Illegal Guarantee 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、行政法规和中国证券监督管理委员会的有关规定，为维护发行人及其他股东的合法权益，本企业确认及承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (
March 16, 2023	EX-10.25	Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC Exhibit 10.25 关于股东信息披露及证监会离职人员核查事项之专项承诺函 Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC 鉴于北京通美晶体技术股份有限公司（以下简称“公司”或“北京通美”）申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），根据中国证监会《监管规则适用指引—关于申请首发上市企业股东信息披露》《监管规则适用指引——发行类第2号》以及上海证券交易所的相关规定，本企业作为北京通美的股东，特此作出如下声明和承诺： Given that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as "th
March 16, 2023	EX-10.21	Letter of Commitment on Avoiding Horizontal Competition Exhibit 10.21 关于避免同业竞争的承诺函 Letter of Commitment on Avoiding Horizontal Competition 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市（以下简称“本次发行上市”），本企业作为发行人的控股股东，现依据相关法律、行政法规和中国证券监督管理委员会的有关规定，就避免与发行人的主营业务产生同业竞争事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be listed on the Science and Tec
March 16, 2023	EX-10.11	Form of Capital Increase Agreement between Beijing Tongmei Xtal Technologies Co., Ltd. and certain investors EX-10.11 3 axti-20221231xex10d11.htm EX-10.11 Exhibit 10.11 Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 CONTENTS Article 1 Definitions and Interpretation 4 Article 2 Capital Increase 7 Article 3 Undertakings, Representations and Warrants 10
March 16, 2023	EX-10.24	Statement and Letter of Commitment Exhibit 10.24 声明与承诺函 Statement and Letter of Commitment 鉴于北京通美晶体技术股份有限公司（以下简称“北京通美”或“公司”）拟申请首次公开发行股票并在科创板上市，本企业作为北京通美的控股股东，就以下事项声明和承诺如下： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “Beijing Tongmei” or “the Company”) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board, our enterprise, as the control
February 16, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2023 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number
February 16, 2023	EX-99.1	AXT, Inc. Announces Fourth Quarter and Fiscal Year 2022 Financial Results Y Exhibit 99.1 AXT, Inc. Fourth Quarter and Fiscal Year 2022 Results February 16, 2023 Page 1 of 8 AXT, Inc. Announces Fourth Quarter and Fiscal Year 2022 Financial Results FREMONT, Calif., February 16, 2023 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financial results for the fourth quarter and fiscal year, ended December 31, 2022. Man
February 10, 2023	SC 13G/A	AXTI / AXT Inc / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9 )* AXT Inc (Name of Issuer) Common Stock (Title of Class of Securities) 00246W103 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t
December 28, 2022	CORRESP	December 28, 2022 CORRESP 1 filename1.htm Corporate Office: 4281 Technology Drive Fremont, CA 94538 Ph: 510-438-4700 www.axt.com December 28, 2022 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention:Dale Welcome Kevin Stertzel Re: AXT, Inc. Form 10-K for the Fiscal Year Ended December 31, 2021 Filed March 15, 2022 File No. 000-24085 L
November 10, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 10-Q ? (Mark One) ? ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the quarterly period ended September 30, 2022 ? Or ? ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the transition period from to ? Commission File N
October 27, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): October 27, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporati
October 27, 2022	EX-99.1	AXT, Inc. Announces Third Quarter 2022 Financial Results Gross Margin Continues to Expand Y ? Exhibit 99.1 ? AXT, Inc. Third Quarter 2022 Results ? October 27, 2022 ? Page 1 of 7 ? AXT, Inc. Announces Third Quarter 2022 Financial Results Gross Margin Continues to Expand ? FREMONT, Calif., October 27, 2022 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financial results for the third quarter, ended September 30, 2022. Management
October 3, 2022	EX-99.1	AXT, Inc. Announces a Preliminary Revenue Range for Third Quarter 2022 Third Quarter 2022 Earnings Announcement Scheduled for Oct. 27, 2022 ? ? Exhibit 99.1 ? AXT, Inc. Updates Revenue Expectations for the Third Quarter 2022 ? October 03, 2022 ? Page 1 of 2 ? AXT, Inc. Announces a Preliminary Revenue Range for Third Quarter 2022 Third Quarter 2022 Earnings Announcement Scheduled for Oct. 27, 2022 ? FREMONT, Calif., October 3, 2022 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today announce
October 3, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): October 03, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporati
August 19, 2022	8-K/A	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2022 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commiss
August 12, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 10-Q ? (Mark One) ? ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the quarterly period ended June 30, 2022 ? Or ? ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the transition period from to ? Commission File Number
August 2, 2022	EX-99.2	Sponsorship Letter for Offering Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) July Exhibit 99.2 ? ? ? ? ? ? ? ? ? Sponsorship Letter for Offering ? ? Issued by Haitong Securities Co., Ltd. ? ? in Respect of ? ? Initial Public Offering and Listing on the ? ? STAR Market of Beijing Tongmei Xtal ? ? Technology Co., Ltd. ? ? Sponsor (Lead Underwriter) ? ? (No.689 Guangdong Road, Shanghai) ? ? July 2022 ? ? 3-1-2-1 ? Statement Pursuant to the Company Law of the People?s Republic of C
August 2, 2022	EX-99.1	Beijing Tongmei Xtal Technology Co., Ltd. No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing in Respect of Initial Public Offering and STAR Market Listing of Shares (Draft for Registration) Exhibit 99.1 ? ? ? Beijing Tongmei Xtal Technology Co., Ltd. Prospectus ? The shares sold in this Offering will be listed on the Sci-tech Innovation Board of the Shanghai Stock Exchange (the ?STAR Market?). The market involves a high degree of investment risk. The companies listed on the STAR Market are generally characterized by huge investment in R&D, high operating risk, unstable performance an
August 2, 2022	EX-99.5	Legal Opinion from King & Wood Mallesons on Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. ? Exhibit 99.5 ? ? ? ? ? ? ? Legal Opinion from King & Wood Mallesons on Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. ? To Beijing Tongmei Xtal Technology Co., Ltd., King & Wood Mallesons (hereinafter referred to as ?KWM? or ?we?) has been appointed by Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as the ?Issuer?) to act a
August 2, 2022	EX-99.4	1 3 - 2 - 1 - 4 Auditor ’ s Report EY (2022) Shen Zi No. 61641535_B01 Beijing Tongmei Xtal Technology Co., Ltd. To all shareholders of Beijing Tongmei Xtal Technology Co., Ltd.: I. Opinion We have audited the financial statements of Beijing Tongmei X Exhibit 99.4 Exhibit 99.5 Beijing Tongmei Xtal Technology Co., Ltd. Audited Financial Statements For the Years of 2019, 2020 and 2021 Exhibit 99.5 Beijing Institute of Certified Public Accountants Unified Business Report Coding Filing System Unified Business Filing Code: 110002432022923000575 Report Title: Beijing Tongmei Xtal Technology Co., Ltd. Auditor?s Report for Three Years of 2019, 2020 and
August 2, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): August 1, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation
August 2, 2022	EX-99.3	Sponsorship Letter for Listing Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) July Exhibit 99.3 Sponsorship Letter for Listing Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) July 2022 ? ? ? ? Statement Pursuant to the Company Law of the People?s Republic of China (hereinafter referred to as the ?Company Law?), the
July 28, 2022	EX-99.1	AXT, Inc. Announces Second Quarter 2022 Financial Results Year-Over-Year Revenue Growth of 22% in 1H22; Gross Margin Expands Y ? Exhibit 99.1 ? AXT, Inc. Second Quarter 2022 Results ? July 28, 2022 ? Page 1 of 7 ? AXT, Inc. Announces Second Quarter 2022 Financial Results Year-Over-Year Revenue Growth of 22% in 1H22; Gross Margin Expands ? FREMONT, Calif., July 28, 2022 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financial results for the second quarter, ended
July 28, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 28, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
July 12, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 12, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
July 12, 2022	EX-99.1	AXT, Inc. Crosses Major Milestone on Tongmei IPO Exhibit 99.1 ? ? FOR IMMEDIATE RELEASE ? Contacts: Gary Fischer Chief Financial Officer (510) 438-4700 ? Leslie Green Green Communications Consulting, LLC (650) 312-9060 ? AXT, Inc. Crosses Major Milestone on Tongmei IPO ? ? FREMONT, Calif., July 12, 2022 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today announced that its subsidiary in China, B
July 6, 2022	EX-99.3	Sponsorship Letter for Offering Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) July Exhibit 99.3 ? ? ? Sponsorship Letter for Offering Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) ? July 2022 ? ? 3-1-2-1 Exhibit 99.3 ? Statement Pursuant to the Company Law of the People?s Republic of China (hereinafter referred to
July 6, 2022	EX-99.1	AXT, Inc. Announces Next Filing Step for IPO in China Exhibit 99.1 ? FOR IMMEDIATE RELEASE ? ? ? Contacts: ? ? ? Gary Fischer ? ? Chief Financial Officer ? ? (510) 438-4700 ? ? ? ? ? Leslie Green ? ? Green Communications Consulting, LLC ? ? (650) 312-9060 ? ? AXT, Inc. Announces Next Filing Step for IPO in China FREMONT, Calif., July 5, 2022 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today announc
July 6, 2022	EX-99.10	Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) Explanation on Revision of the Reply to the First Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Exhibit 99.10 ? Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) ? ? Explanation on Revision of the Reply to the First Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. ? ? Sponsor (Lead Underwriter) (No. 689, Guangdong Road, Shanghai)
July 6, 2022	EX-99.11	Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) Explanation on Revision of the Reply to the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Exhibit 99.11 ? Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) ? ? Explanation on Revision of the Reply to the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. ? Sponsor (Lead Underwriter) (No. 689, Guangdong Road, Shanghai) ?
July 6, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 5, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
July 6, 2022	EX-99.8	Supplementary Legal Opinion (III) King & Wood Mallesons the Initial Public Offering and STAR Market Listing of Shares of Beijing Tongmei Xtal Technology Co., Ltd. Exhibit 99.8 ? ? Supplementary Legal Opinion (III) of King & Wood Mallesons on the Initial Public Offering and STAR Market Listing of Shares of Beijing Tongmei Xtal Technology Co., Ltd. To Beijing Tongmei Xtal Technology Co., Ltd., Engaged by Beijing Tongmei Xtal Technology Co., Ltd. (the ?Issuer?), King & Wood Mallesons (?we?) acts as the special legal counsel for the Issuer?s initial public offe
July 6, 2022	EX-99.4	Sponsorship Letter for Listing Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) July Exhibit 99.4 ? ? Sponsorship Letter for Listing Issued by Haitong Securities Co., Ltd. in Respect of Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. Sponsor (Lead Underwriter) (No.689 Guangdong Road, Shanghai) ? July 2022 ? ? ? Statement Pursuant to the Company Law of the People?s Republic of China (hereinafter referred to as the ?Company Law?),
July 6, 2022	EX-99.9	Explanation after the Verification of Relevant Question in the Letter of Implementation of the Audit Center’s Opinions on Initial Public Offering and STAR Market Listing of Shares of Beijing Tongmei Xtal Technology Co., Ltd. Exhibit 99.9 Explanation after the Verification of Relevant Question in the Letter of Implementation of the Audit Center?s Opinions on Initial Public Offering and STAR Market Listing of Shares of Beijing Tongmei Xtal Technology Co., Ltd. To Shanghai Stock Exchange, In accordance with the requirements in the Letter of Implementation of the Audit Center?s Opinions on Initial Public Offering and STAR
July 6, 2022	EX-99.2	Beijing Tongmei Xtal Technology Co., Ltd. No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing in respect of Initial Public Offering and STAR Market Listing of Shares (Draft for Review Committee) ? ? ? ? Beijing Tongmei Xtal Technology Co., Ltd. Prospectus ? Exhibit 99.2 ? ? The shares sold in this Offering will be listed on the Sci-tech Innovation Board of the Shanghai Stock Exchange (the ?STAR Market?). The market involves a high degree of investment risk. The companies listed on the STAR Market are generally characterized by huge investment in R&D, high operating risk, unstable performa
July 6, 2022	EX-99.7	Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) Reply to the Letter of Implementation of the Audit Center’s Opinions on Initial Public Offering and STAR Market Listing of Shares of Bei Exhibit 99.7 ? ? ? ? Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) ? ? Reply to the Letter of Implementation of the Audit Center?s Opinions on Initial Public Offering and STAR Market Listing of Shares of Beijing Tongmei Xtal Technology Co., Ltd. ? Sponsor (Lead Underwriter) ? ? (No. 689, Guangdong Road, Shanghai) ? ? ? ? ? Exhibit
July 6, 2022	EX-99.6	Legal Opinion from King & Wood Mallesons on Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. ? Exhibit 99.6 ? ? ? ? ? ? ? Legal Opinion from King & Wood Mallesons on Initial Public Offering and Listing on the STAR Market of Beijing Tongmei Xtal Technology Co., Ltd. ? To Beijing Tongmei Xtal Technology Co., Ltd., King & Wood Mallesons (hereinafter referred to as ?KWM? or ?we?) has been appointed by Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as the ?Issuer?) to act a
July 6, 2022	EX-99.5	1 3 - 2 - 1 - 4 Auditor ’ s Report EY (2022) Shen Zi No. 61641535_B01 Beijing Tongmei Xtal Technology Co., Ltd. To all shareholders of Beijing Tongmei Xtal Technology Co., Ltd.: I. Opinion We have audited the financial statements of Beijing Tongmei X Exhibit 99.5 Exhibit 99.5 Beijing Tongmei Xtal Technology Co., Ltd. Audited Financial Statements For the Years of 2019, 2020 and 2021 Exhibit 99.5 Beijing Institute of Certified Public Accountants Unified Business Report Coding Filing System Unified Business Filing Code: 110002432022923000575 Report Title: Beijing Tongmei Xtal Technology Co., Ltd. Auditor?s Report for Three Years of 2019, 2020 and
June 17, 2022	EX-99.1	Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) Reply to the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing T Exhibit 99.1 ? ? Beijing Tongmei Xtal Technology Co., Ltd. ? (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) ? ? Reply to the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. ? ? Sponsor (Lead Underwriter) (No. 689, Guangdong Road, Shanghai) ? Exhibit 99.1 To Shanghai
June 17, 2022	EX-99.3	Reply to the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. Exhibit 99.3 Reply to the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. To Shanghai Stock Exchange, According to the requirements of the Second Round Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Lt
June 17, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): June 17, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
June 17, 2022	EX-99.2	King & Wood Mallesons The Supplementary Legal Opinion (II) of King & Wood Mallesons on Initial Public Offering and Listing of Beijing Tongmei Xtal Technology Co., Ltd. on the Science and Innovation Board Exhibit 99.2 ? ? ? ? ? ? King & Wood Mallesons The Supplementary Legal Opinion (II) of King & Wood Mallesons on Initial Public Offering and Listing of Beijing Tongmei Xtal Technology Co., Ltd. on the Science and Innovation Board To: Beijing Tongmei Xtal Technology Co., Ltd. King & Wood Mallesons (hereinafter referred to as We/Us) is entrusted by Beijing Tongmei Xtal Technology Co., Ltd. (hereinaft
May 24, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): May 19, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
May 13, 2022	CORRESP	May 13, 2022 Corporate Office: 4281 Technology Drive Fremont, CA 94538 Ph: 510-438-4700 www.axt.com ? May 13, 2022 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention:Sergio Chinos, Staff Attorney Asia Timmons-Pierce, Special Counsel Re: AXT, Inc. Registration Statement on Form S-3 Filed July 27, 2021 File No. 333-258196 Accelera
May 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 10-Q ? (Mark One) ? ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the quarterly period ended March 31, 2022 ? Or ? ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the transition period from to ? Commission File Numbe
May 5, 2022	CORRESP	May 5, 2022 ? Palo Alto, California 94304-1050 : 650.493.9300 f: 650.493.6811 ? ? ? ? Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.493.9300 f: 650.493.6811 ? May 5, 2022 Via EDGAR and Overnight Delivery U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sergio Chino
May 5, 2022	S-3/A	As filed with the Securities and Exchange Commission on May 5, 2022 As filed with the Securities and Exchange Commission on May 5, 2022 Registration No.
April 28, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): April 28, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation
April 28, 2022	EX-99.1	AXT, Inc. Announces First Quarter 2022 Financial Results Q1 Revenue Grows 26% from Q1 2021 Y ? Exhibit 99.1 ? AXT, Inc. First Quarter 2022 Results ? April 28, 2022 ? Page 1 of 7 ? AXT, Inc. Announces First Quarter 2022 Financial Results Q1 Revenue Grows 26% from Q1 2021 ? FREMONT, Calif., April 28, 2022 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financial results for the first quarter, ended March 31, 2022. Management Qualit
April 18, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): April 18, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation
April 18, 2022	EX-99.2	The Supplementary Legal Opinion (I) of King & Wood Mallesons on Initial Public Offering and Listing of Beijing Tongmei Xtal Technology Co., Ltd. on the Science and Innovation Board Exhibit 99.2 ? ? ? The Supplementary Legal Opinion (I) of King & Wood Mallesons on Initial Public Offering and Listing of Beijing Tongmei Xtal Technology Co., Ltd. on the Science and Innovation Board ? ? To: Beijing Tongmei Xtal Technology Co., Ltd. King & Wood Mallesons (hereinafter referred to as We/Us) is entrusted by Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as the ?Is
April 18, 2022	EX-99.1	Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) Reply to Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Techn Exhibit 99.1 ? ? ? Beijing Tongmei Xtal Technology Co., Ltd. (No. 4, East 2nd Street, Tongzhou Industrial Development Zone, Beijing) ? ? Reply to Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. ? ? Sponsor (Lead Underwriter) (No. 689, Guangdong Road, Shanghai) ? ? ? ? Shanghai Stock Exchange: Audit Inqui
April 18, 2022	EX-99.3	Reply to Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. EX-99.3 4 axti-20220418xex99d3.htm EX-99.3 Exhibit 99.3 Reply to Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. Shanghai Stock Exchange: As required by the Audit Inquiry Letter on Application for Initial Public Offering and STAR Market Listing of Shares by Beijing Tongmei Xtal Technology Co., Ltd. (SZKS
April 14, 2022	S-3/A	As filed with the Securities and Exchange Commission on April 14, 2022 As filed with the Securities and Exchange Commission on April 14, 2022 Registration No.
April 14, 2022	CORRESP	April 14, 2022 ? Palo Alto, California 94304-1050 : 650.493.9300 f: 650.493.6811 ? ? ? ? Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.493.9300 f: 650.493.6811 ? April 14, 2022 Via EDGAR and Overnight Delivery U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sergio Ch
April 8, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? ? ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2
April 8, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ?
March 15, 2022	EX-10.21	Letter of Commitment on Avoiding Horizontal Competition Exhibit 10.21 ? ???????????? Letter of Commitment on Avoiding Horizontal Competition ??????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Issuer?) plans to apply for an IPO (initial public offering) and be listed on the Science and T
March 15, 2022	EX-10.25	Special Commitment Letter for Disclosure of Shareholders’ Information and Verification of Retired Personnel of CSRC Exhibit 10.25 ? ????????????????????? ????? Special Commitment Letter for Disclosure of Shareholders? Information and Verification of Retired Personnel of CSRC ? ??????????????????????????????????????????????????????????????????????????????????????????????????????????????????2?????????????????????????????????????????? Given that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as
March 15, 2022	EX-10.11	Form of Capital Increase Agreement between Beijing Tongmei Xtal Technologies Co., Ltd. and certain investors Exhibit 10.11 ? Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. ? Among ? Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., ? Beijing Tongmei Xtal Technology Co., Ltd. ? and AXT, INC. ? January 2021 ? ? ? ? CONTENTS ? ? ? Article 1 Definitions and Interpretation 4 Article 2 Capital Increase 7 Article 3 Undertakings, Representations and Warrants 10 Article 4 Terminatio
March 15, 2022	EX-10.18	Letter of Commitment on No False Records, Misleading Statements or Major Omissions in the Prospectus Exhibit 10.18 ? ?????????????????????????????? Letter of Commitment on No False Record, Misleading Statement or Major Omission in the Prospectus ????????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Issuer?) plans to apply for an IPO (initial public offering) and be listed on the Sci
March 15, 2022	EX-10.17	Letter of Commitment on Share Repurchase for Fraudulent Listing Exhibit 10.17 ? ????????????????? Letter of Commitment on Share Repurchase for Fraudulent Listing ????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Company?) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter refe
March 15, 2022	EX-10.13	Form of Second Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.13 ? Supplementary Agreement II to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among ? Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., ? Beijing Tongmei Xtal Technology Co., Ltd. ? And ? AXT, INC. ? January 2021 ? ? ? ? Supplementary Agreement II to Capital Increase Agreement The Supplementary Agreement II to the Capital Increase Agreement (hereinafte
March 15, 2022	EX-10.11.A	Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.11 hereto Exhibit 10.11(a) ? Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.13 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. ? ? ? ? ? ? ? Purchase ? Investor ? Price (RMB) ? Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) ? 11,840,774 ? 1.3373% Liaoning Haitong New Energy Low-Carbon
March 15, 2022	EX-10.22	Letter of Commitment on Regulating and Reducing Related Party Transactions Exhibit 10.22 ? ??????????????? Letter of Commitment on Standardizing and Reducing the Related Transactions ?????????????????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Issuer?) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovati
March 15, 2022	EX-10.15	Letter of Commitment on the Shareholding Intention and Share Reduction Intention Exhibit 10.15 ? ??????????????? Letter of Commitment on the Shareholding Intention and Share Reduction Intention ??????????????????????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Company?) plans to apply for an IPO (initial public offering) and be listed on the Science and Technolo
March 15, 2022	EX-10.14	Letter of Commitment on Share Lock-up Exhibit 10.14 ? ?????????? Letter of Commitment on Share Lock-up ?????????????????????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Issuer?) plans to make an IPO (initial public offering) and be listed on the Science and Technology Innovation Board (hereinafter referred to as ?this L
March 15, 2022	EX-10.24	Statement and Letter of Commitment Exhibit 10.24 ? ?????? Statement and Letter of Commitment ???????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?Beijing Tongmei? or ?the Company?) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Board, our enterprise, as the contr
March 15, 2022	EX-10.23	Letter of Commitment on Avoiding Illegal Guarantees Exhibit 10.23 ? ????????????????? Letter of Commitment on Avoiding the Capital Occupation and Illegal Guarantee ?????????????????????????????????????????????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Issuer?) plans to apply for an IPO (initial public offering) and be listed on the
March 15, 2022	EX-10.19	Letter of Commitment on Filling the Diluted Spot Return EX-10.19 14 axti-20211231xex10d19.htm EX-10.19 Exhibit 10.19 关于填补被摊薄即期回报的承诺函 Letter of Commitment on Filling the Diluted Spot Return 鉴于北京通美晶体技术股份有限公司（以下简称“发行人”）拟申请首次公开发行股票并在科创板上市，本企业作为发行人的控股股东，现依据相关法律、法规和中国证券监督管理委员会的有关规定，就填补被摊薄即期回报事项作出如下承诺： In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as “the Issuer”) plans to apply for an IPO (initial public offering) and be lis
March 15, 2022	EX-12.1	Computation of Ratio of Earnings to Fixed Charges Exhibit 12.1 ? COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES ? ? ? ? ? ? ? ? ? Year Ended December 31, ? 2021 2020 2019 2018 2017 ? ? ? (in thousands) ? Earnings: ? ? ? ? ? ? ? ? ? ? ? Income (loss) before income taxes ? $ 17,602 ? $ 7,072 ? $ (1,026) ? $ 11,947 ? $ 10,853 ? Less: Equity in loss (earnings) of investees ? ? (4,409) ? ? (111) ? ? 1,876 ? ? 1,080 ? ? 1,694 ? Less: Pre-tax net (in
March 15, 2022	EX-10.20	Letter of Commitment on Restraint Measures for Nonperformance of the Commitments Exhibit 10.20 ???????????????? Letter of Commitment on Restraint Measures for Nonperformance of the Commitments ??????????????????????????????????????????????????????????????????????????????? In view that Beijing Tongmei Xtal Technology Co., Ltd. (hereinafter referred to as ?the Issuer?) plans to apply for an IPO (initial public offering) and be listed on the Science and Technology Innovation Boar
March 15, 2022	EX-10.16	Letter of Commitment on Plan for Stabilizing Tongmei’s Stock Price within Three Years upon the Listing and the Restraint Measures EX-10.16 11 axti-20211231xex10d16.htm EX-10.16 Exhibit 10.16 关于上市后三年内稳定公司股价的预案及约束措施的承诺函 Letter of Commitment on Plan for Stabilizing the Company’s Stock Price within Three Years upon the Listing and the Restraint Measures 为维护北京通美晶体技术股份有限公司（以下简称“公司”）股票上市后股价的稳定，充分保护公司股东特别是中小股东的权益，公司特制定《北京通美晶体技术股份有限公司上市后三年内稳定公司股价的预案》（以下简称“《稳定股价的预案》”）。根据中国证券监督管理委员会（以下简称“中国证监会”）《关于进一步推进新股发行体制改革的意见》的要求，公司及其控股股东、在公司领取薪酬和
March 15, 2022	EX-10.12	Form of First Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors Exhibit 10.12 Supplementary Agreement to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 ? ? ? ? Supplementary Agreement to Capital Increase Agreement The Supplementary Agreement to the Capital Increase Agreement (hereinafter referred to as the
March 15, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 15, 2022	EX-10.13.A	Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.13 hereto Exhibit 10.13(a) ? Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.15 hereto ? Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. ? ? ? ? ? ? ? ? Purchase ? ? Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) ? 11,840,774 ? 1.3373% Liaoning Haitong New Energy Low-C
March 15, 2022	EX-21.1	List of Subsidiaries EX-21.1 22 axti-20211231xex21d1.htm EX-21.1 Exhibit 21.1 AXT, Inc. Subsidiaries State or Other Jurisdiction of Subsidiaries of the registrant* Incorporation Beijing Tongmei Xtal Technology Co., Ltd. China Nanjing Jin Mei Gallium Co., Ltd. China Beijing BoYu Semiconductor Vessel Craftwork Technology Co., Ltd. China *As of December 31, 2021. Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the nam
March 15, 2022	EX-10.12.A	Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.12 hereto EX-10.12.A 6 axti-20211231xex10d12da.htm EX-10.12.A Exhibit 10.12(a) Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.14 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning H
March 15, 2022	EX-4.1	Description of Securities EX-4.1 2 axti-20211231xex4d1.htm EX-4.1 Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 DESCRIPTION OF CAPITAL STOCK The following information describes our common stock and preferred stock, as well as certain provisions of our restated certificate of incorporation, as amended (the “certificate of incorporation”), and
February 16, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): February 16, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporat
February 16, 2022	EX-99.1	AXT, Inc. Announces Fourth Quarter and Fiscal Year 2021 Financial Results Topline Expands 44 Percent Year on Year EX-99.1 2 axti-20220216xex99d1.htm EX-99.1 Y Exhibit 99.1 AXT, Inc. Fourth Quarter and Fiscal Year 2021 Results February 16, 2022 Page 1 of 8 AXT, Inc. Announces Fourth Quarter and Fiscal Year 2021 Financial Results Topline Expands 44 Percent Year on Year FREMONT, Calif., February 16, 2022 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported fin
February 8, 2022	SC 13G/A	AXTI / AXT Inc / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8 )* AXT Inc (Name of Issuer) Common Stock (Title of Class of Securities) 00246W103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi
February 4, 2022	EX-FILING FEES	Filing Fee Tables EX-FILING FEES 3 tmb-20220204xexfilingfees.htm EX-FILING FEES Exhibit 107.1 Calculation of Filing Fee Tables Form S-3 (Form Type) AXT, Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1)(2) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3)(4) Fee
February 4, 2022	CORRESP	February 4, 2022 CORRESP 1 filename1.htm Palo Alto, California 94304-1050 : 650.493.9300 f: 650.493.6811 Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.493.9300 f: 650.493.6811 February 4, 2022 Via EDGAR and Overnight Delivery U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attent
February 4, 2022	S-3/A	As filed with the Securities and Exchange Commission on February 4, 2022 As filed with the Securities and Exchange Commission on February 4, 2022 Registration No.
January 10, 2022	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): January 10, 2022 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporati
January 10, 2022	EX-99.1	Beijing Tongmei Xtal Technology Co., Ltd. No. 2, East 2nd Street, Tongzhou Industrial Development Zone, Beijing in respect of Initial Public Offering and STAR Market Listing of Shares (For filing purpose) Exhibit 99.1 ? Beijing Tongmei Xtal Technology Co., Ltd. Prospectus ? ? ? The shares sold in this Offering will be listed on the Sci-tech Innovation Board of the Shanghai Stock Exchange (the ?STAR Market?). The market involves a high degree of investment risk. The companies listed on the STAR Market are generally characterized by huge investment in R&D, high operating risk, unstable performance an
January 10, 2022	EX-99.2	AXT, Inc. Announces Formal Application for Subsidiary IPO Company Also Increases Fourth Quarter 2021 Revenue Guidance EX-99.2 3 axti-20220110xex99d2.htm EX-99.2 Y Exhibit 99.2 AXT, Inc. Announces Formal Application for Subsidiary IPO Company Also Increases Fourth Quarter 2021 Revenue Guidance FREMONT, Calif., January 10, 2022 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrate wafers, today announced that its wafer manufacturing subsidiary in China, Beijing Tongmei Xtal Techno
January 3, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): December 29, 2021 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporat
December 30, 2021	S-3/A	As filed with the Securities and Exchange Commission on December 30, 2021 As filed with the Securities and Exchange Commission on December 30, 2021 Registration No.
December 30, 2021	CORRESP	December 30, 2021 ? Palo Alto, California 94304-1050 : 650.493.9300 f: 650.493.6811 ? ? ? ? Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.493.9300 f: 650.493.6811 ? December 30, 2021 Via EDGAR and Overnight Delivery U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sergio
December 3, 2021	CORRESP	December 3, 2021 ? Palo Alto, California 94304-1050 : 650.493.9300 f: 650.493.6811 ? ? ? ? Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.493.9300 f: 650.493.6811 ? December 3, 2021 Via EDGAR and Overnight Delivery U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sergio
December 3, 2021	S-3/A	As filed with the Securities and Exchange Commission on December 3, 2021 As filed with the Securities and Exchange Commission on December 3, 2021 Registration No.
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 10-Q ? (Mark One) ? ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the quarterly period ended September 30, 2021 ? Or ? ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the transition period from to ? Commission File N
October 27, 2021	EX-99.1	AXT, Inc. Announces Third Quarter 2021 Financial Results Year-to-Date Revenue Grows 46% from the Prior Year Y ? Exhibit 99.1 ? AXT, Inc. Third Quarter 2021 Results ? October 27, 2021 ? Page 1 of 7 ? AXT, Inc. Announces Third Quarter 2021 Financial Results Year-to-Date Revenue Grows 46% from the Prior Year ? FREMONT, Calif., October 27, 2021 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the third quarter, ended Septem
October 27, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): October 27, 2021 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporati
September 24, 2021	CORRESP	September 24, 2021 ? Palo Alto, California 94304-1050 : 650.493.9300 f: 650.493.6811 ? ? ? ? Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650.493.9300 f: 650.493.6811 ? September 24, 2021 Via EDGAR and Overnight Delivery U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sergi
September 24, 2021	S-3/A	As filed with the Securities and Exchange Commission on September 24, 2021 S-3/A 1 tmb-20210924xs3a.htm S-3/A As filed with the Securities and Exchange Commission on September 24, 2021 Registration No. 333-258196 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT Under The Securities Act of 1933 AXT, Inc. (Exact name of registrant as specified in its charter) incorporation or organization) Identifica
August 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 10-Q ? (Mark One) ? ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the quarterly period ended June 30, 2021 ? Or ? ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the transition period from to ? Commission File Number
July 29, 2021	S-8	As filed with the Securities and Exchange Commission on July 29, 2021 As filed with the Securities and Exchange Commission on July 29, 2021 Registration No.
July 27, 2021	S-3	As filed with the Securities and Exchange Commission on July 27, 2021 As filed with the Securities and Exchange Commission on July 27, 2021 Registration No.
July 27, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 27, 2021 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
July 27, 2021	EX-99.1	AXT, Inc. Announces Second Quarter 2021 Financial Results Revenue Reaches $33.7 Million, 52% Over Prior Year Y ? Exhibit 99.1 ? AXT, Inc. Second Quarter 2021 Results ? July 27, 2021 ? Page 1 of 5 ? AXT, Inc. Announces Second Quarter 2021 Financial Results Revenue Reaches $33.7 Million, 52% Over Prior Year ? FREMONT, Calif., July 27, 2021 ? AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the second quarter, ended June 30,
July 27, 2021	EX-4.2	Form of Indenture Exhibit 4.2 AXT, INC. INDENTURE Dated as of, 20 [] Trustee TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE‌1 Section 1.1Definitions‌1 Section 1.2Other Definitions‌4 Section 1.3Incorporation by Reference of Trust Indenture Act‌4 Section 1.4Rules of Construction‌5 ARTICLE II THE SECURITIES‌5 Section 2.1Issuable in Series‌5 Section 2.2Establishment of Terms of Series of Se
May 26, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): May 20, 2021 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation)
May 14, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 0 ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 10-Q ? (Mark One) ? ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the quarterly period ended March 31, 2021 ? Or ? ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? for the transition period from to ? Commission File Numbe
April 28, 2021	EX-99.1	AXT, Inc. Announces First Quarter 2021 Financial Results Revenue Passes $30 Million per Quarter Mark EX-99.1 2 axti-20210428xex99d1.htm EX-99.1 Y Exhibit 99.1 AXT, Inc. First Quarter 2021 Results April 28, 2021 Page 1 of 5 AXT, Inc. Announces First Quarter 2021 Financial Results Revenue Passes $30 Million per Quarter Mark FREMONT, Calif., April 28, 2021 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor wafer substrates, today reported financial results for the first q
April 28, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): April 28, 2021 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation
April 9, 2021	DEFA14A	- DEFA14A ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ?
April 9, 2021	DEF 14A	the portions of our Definitive Proxy Statement on Schedule 14A (other than information furnished rather than filed) that are incorporated by reference into our Annual Report on Form 10-K, filed with the SEC on April 9, 2021; DEF 14A 1 tmb-20210520xdef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only
March 23, 2021	EX-10.14	Form of First Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors EX-10.14 6 axti-20201231xex10d14.htm EX-10.14 Exhibit 10.14 Supplementary Agreement to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 Supplementary Agreement to Capital Increase Agreement The Supplementary Agreement to the Capital Increase Agre
March 23, 2021	EX-4.1	Description of Securities Exhibit 4.1 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 ? DESCRIPTION OF CAPITAL STOCK ? The following information describes our common stock and preferred stock, as well as certain provisions of our restated certificate of incorporation, as amended (the ?certificate of incorporation?), and second amended and restated bylaws,
March 23, 2021	EX-21.1	List of Subsidiaries Exhibit 21.1 AXT, Inc. Subsidiaries State or Other Jurisdiction of Subsidiaries of the registrant* Incorporation Beijing Tongmei Xtal Technology Co., Ltd. China Nanjing Jin Mei Gallium Co., Ltd. China Beijing BoYu Semiconductor Vessel Craftwork Technology Co., Ltd. China ? *As of December 31, 2020. Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of other AXT, Inc. subsidiaries are omi
March 23, 2021	EX-10.13(A)	Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.13 hereto EX-10.13(A) 5 axti-20201231xex10d13a.htm EX-10.13(A) Exhibit 10.13(a) Schedule identifying agreements substantially identical to the form of Capital Increase Agreement filed as Exhibit 10.13 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning Ha
March 23, 2021	10-K	Annual Report - 10-K Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 23, 2021	EX-10.15(A)	Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.15 hereto EX-10.15(A) 9 axti-20201231xex10d15a.htm EX-10.15(A) Exhibit 10.15(a) Schedule identifying agreements substantially identical to the form of Second Supplemental Agreement filed as Exhibit 10.15 hereto Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. Purchase Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) 11,840,774 1.3373% Liaoning
March 23, 2021	EX-10.12	First Amendment to Credit Agreement, dated as of February 5, 2020, by and between AXT, Inc. and Wells Fargo Bank, National Association EX-10.12 3 axti-20201231xex10d12.htm EX-10.12 Exhibit 10.12 FIRST AMENDMENT TO CREDIT AGREEMENT AND WAIVER This FIRST AMENDMENT TO CREDIT AGREEMENT AND WAIVER (this "Amendment"), dated as of February 5, 2020, is entered into by and between AXT, INC., a Delaware corporation ("Borrower"), and WELLS FARGO BANK, NATIONAL ASSOCIATION ("Bank"). RECITALS WHEREAS Borrower is currently indebted to Bank pur
March 23, 2021	EX-10.14(A)	Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.14 hereto Exhibit 10.14(a) ? Schedule identifying agreements substantially identical to the form of First Supplemental Agreement filed as Exhibit 10.14 hereto ? Subscribed Capital of Beijing Tongmei Xtal Technology Co., Ltd. ? ? ? ? ? ? ? ? Purchase ? ? Investor Price (RMB) Capital % Liaoning Haitong New Energy Equity Investment (Limited Partnership) ? 11,840,774 ? 1.3373% Liaoning Haitong New Energy Low-Ca
March 23, 2021	EX-10.13	Form of Capital Increase Agreement between Beijing Tongmei Xtal Technologies Co., Ltd. and certain investors EX-10.13 4 axti-20201231xex10d13.htm EX-10.13 Exhibit 10.13 Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. and AXT, INC. January 2021 CONTENTS Article 1 Definitions and Interpretation 4 Article 2 Capital Increase 7 Article 3 Undertakings, Representations and Warrants 10
March 23, 2021	EX-10.15	Form of Second Supplemental Agreement between Beijing Tongmei Xtal Technology Co., Ltd. and certain investors EX-10.15 8 axti-20201231xex10d15.htm EX-10.15 Exhibit 10.15 Supplementary Agreement II to Capital Increase Agreement on Beijing Tongmei Xtal Technology Co., Ltd. Among Guangshuo Semiconductor Equipment (Shanghai) Co., Ltd., Beijing Tongmei Xtal Technology Co., Ltd. And AXT, INC. January 2021 Supplementary Agreement II to Capital Increase Agreement The Supplementary Agreement II to the Capital Incr
March 23, 2021	EX-12.1	Computation of Ratio of Earnings to Fixed Charges Exhibit 12.1 COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Year Ended December 31, 2020 2019 2018 2017 2016 (in thousands) Earnings: Income (loss) before income taxes $ 7,072 $ (1,026) $ 11,947 $ 10,853 $ 5,699 Less: Equity in loss (earnings) of investees (111) 1,876 1,080 1,694 1,995 Less: Pre-tax net (income) loss attributable to noncontrolling interest (1,803) (1,012) (1,355) 87 670 Add: Di
February 18, 2021	EX-99.1	AXT, Inc. Announces Fourth Quarter and Fiscal Year 2020 Financial Results Revenue Grows 15 Percent Year on Year EX-99.1 2 axti-20210218xex99d1.htm EX-99.1 Y Exhibit 99.1 AXT, Inc. Fourth Quarter and Year End 2020 Results February 18, 2021 Page 1 of 6 AXT, Inc. Announces Fourth Quarter and Fiscal Year 2020 Financial Results Revenue Grows 15 Percent Year on Year FREMONT, Calif., February 18, 2021 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financia
February 18, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): February 18, 2021 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporat
February 12, 2021	SC 13G/A	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7 )* AXT Inc (Name of Issuer) Common Stock (Title of Class of Securities) 00246W103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi
January 29, 2021	SC 13G/A	SC 13G/A us00246w1036012821.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 3) AXT INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 00246W103 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this
December 31, 2020	8-K	Entry into a Material Definitive Agreement - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 25, 2020 AXT, INC. (Exact name of registrant as specified in its charter) Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporation) (Commission File Number
November 19, 2020	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): November 13, 2020 ? ? AXT, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware 000-24085 94-3031310 (State or other jurisdiction of incorporat
November 6, 2020	10-Q	Quarterly Report - 10-Q 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2020 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number 000-24085 AXT,
October 28, 2020	EX-99.1	AXT, Inc. Announces Third Quarter 2020 Financial Results EX-99.1 2 tmb-20201028xex99d1.htm EX-99.1 Exhibit 99.1 AXT, Inc. Third Quarter 2020 Results October 28, 2020 Page 1 of 5 AXT, Inc. Announces Third Quarter 2020 Financial Results FREMONT, Calif., Oct 28, 2020 – AXT, Inc. (NasdaqGS: AXTI), a leading manufacturer of compound semiconductor substrates, today reported financial results for the third quarter, ended September 30, 2020. Management Qualitat

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