AXTI

axti20251028_8k.htm

false 0001051627

0001051627

2026-02-19 2026-02-19

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 19, 2026

​

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 Employer Identification No.)

​

​

4281 Technology Drive

Fremont, California 94538

(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code: (510) 438-4700

​

Not Applicable

(Former name or former address, if changed since last report)

​

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

​

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

​

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

​

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

​

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

​

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

​

Emerging growth company ☐

​

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

​

Securities registered pursuant to Section 12(b) of the Act:

​

Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value

​

AXTI

​

The NASDAQ Stock Market LLC

​

Item 2.02 Results of Operations and Financial Condition

​

On February 19, 2026, AXT, Inc. issued a press release announcing its financial results for the quarter and fiscal year ended December 31, 2025.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter and fiscal year ended December 31, 2025, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing.

​

​

Item 9.01 Financial Statements and Exhibits

​

(d)       Exhibits

​

99.1     Press release dated February 19, 2026, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2025.

​

​

EXHIBIT INDEX

​

Exhibit

Number

Description

99.1

​

Press release dated February 19, 2026, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2025.

104

​

Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​

​

SIGNATURES

​

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

​

​

​

​

​

AXT, INC.

​

​

​

​

​

​

Date: February 19, 2026

By:

/s/ Gary L. Fischer

​

​

Gary L. Fischer

​

​

Chief Financial Officer and Corporate Secretary

​

false 0001051627

0001051627

2026-01-08 2026-01-08

iso4217:USD

xbrli:shares

iso4217:USD

xbrli:shares

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 8, 2026

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 Employer

Identification No.)

4281 Technology Drive

Fremont, California 94538

(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code: (510) 438-4700

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value

AXTI

The NASDAQ Stock Market LLC

Item 2.02 Results of Operations and Financial Condition.

On January 8, 2026, AXT, Inc. (the “Company”) issued a press release updating revenue expectations for the fourth quarter of 2025 and announcing its earnings release date. The press release includes a certain unaudited financial result for the fourth quarter ended December 31, 2025. A copy of the Company’s press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Item 7.01. Regulation FD Disclosure.

The information in Item 2.02 of this report is incorporated by reference into this Item 7.01.

The information in this report, including Exhibit 99.1, hereto discussing the Company’s results of operations and financial condition for the fourth quarter of 2025 is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained in this report and in Exhibit 99.1 is being furnished and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

Exhibit No.

Description

99.1

Press release dated January 8, 2026.

104

Cover Page Interactive Data File (embedded within the Inline XBRL document)

1

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

AXT, INC.

Date: January 9, 2026 By: /s/ Gary L. Fischer

Gary L. Fischer

Chief Financial Officer and Corporate Secretary

2

axti20250815_8k.htm

false 0001051627

0001051627

2025-10-30 2025-10-30

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 30, 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 Employer Identification No.)

4281 Technology Drive

Fremont, California 94538

(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code: (510) 438-4700

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8‑K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a‑12 under the Exchange Act (17 CFR 240.14a‑12)

☐ Pre-commencement communications pursuant to Rule 14d‑2(b) under the Exchange Act (17 CFR 240.14d‑2(b))

☐ Pre-commencement communications pursuant to Rule 13e‑4(c) under the Exchange Act (17 CFR 240.13e‑4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value

AXTI

The NASDAQ Stock Market LLC

Item 2.02

Results of Operations and Financial Condition

On October 30, 2025, AXT, Inc. issued a press release announcing its financial results for the quarter ended September 30, 2025. A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended September 30, 2025, is being “furnished” in accordance with General Instruction B.2 of Form 8‑K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing.

Item 9.01

Financial Statements and Exhibits

(d)

Exhibits

99.1

Press release dated October 30, 2025, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2025.

EXHIBIT INDEX

Exhibit

Number

Description

99.1

Press release dated October 30, 2025, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2025.

104

Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

AXT, INC.

Date: October 30, 2025

By:

/s/ Gary L. Fischer

Gary L. Fischer

Chief Financial Officer and Corporate Secretary

axti20250604_8k.htm

false 0001051627

0001051627

2025-07-31 2025-07-31

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)

(IRS Employer Identification No.)

4281 Technology Drive

Fremont, California 94538

(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code: (510) 438-4700

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8‑K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a‑12 under the Exchange Act (17 CFR 240.14a‑12)

☐ Pre-commencement communications pursuant to Rule 14d‑2(b) under the Exchange Act (17 CFR 240.14d‑2(b))

☐ Pre-commencement communications pursuant to Rule 13e‑4(c) under the Exchange Act (17 CFR 240.13e‑4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value

AXTI

The NASDAQ Stock Market LLC

Item 2.02

Results of Operations and Financial Condition

On July 31, 2025, AXT, Inc. issued a press release announcing its financial results for the quarter ended June 30, 2025. A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended June 30, 2025, is being “furnished” in accordance with General Instruction B.2 of Form 8‑K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing.

Item 9.01

Financial Statements and Exhibits

(d)

Exhibits

99.1

Press release dated July 31, 2025, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2025.

EXHIBIT INDEX

Exhibit

Number

Description

99.1

Press release dated July 31, 2025, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2025.

104

Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

AXT, INC.

Date: July 31, 2025

By:

/s/ Gary L. Fischer

Gary L. Fischer

Chief Financial Officer and Corporate Secretary

axti20250703_8k.htm

false 0001051627

0001051627

2025-07-09 2025-07-09

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)

(IRS Employer Identification No.)

4281 Technology Drive

Fremont, California 94538

(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code: (510) 438-4700

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8‑K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a‑12 under the Exchange Act (17 CFR 240.14a‑12)

☐ Pre-commencement communications pursuant to Rule 14d‑2(b) under the Exchange Act (17 CFR 240.14d‑2(b))

☐ Pre-commencement communications pursuant to Rule 13e‑4(c) under the Exchange Act (17 CFR 240.13e‑4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value

AXTI

The NASDAQ Stock Market LLC

Item 2.02 Results of Operations and Financial Condition

On July 9, 2025, AXT, Inc. issued a press release announcing certain unaudited preliminary revenue results for the second quarter ended June 30, 2025. A copy of the press release is furnished hereto as Exhibit 99.1 and is incorporated herein by reference.

Item 7.01 Regulation FD Disclosure

The information in Item 2.02 of this report is incorporated by reference into this Item 7.01.

The information in Items 2.02 and 7.01 of this Current Report on Form 8-K, including Exhibit 99.1, is being “furnished” and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.

Item 9.01 Financial Statements and Exhibits

(d)       Exhibits.

Exhibit

No.

Description

99.1

Press release, dated July 9, 2025

104

Cover Page Interactive Data File (formatted as inline XBRL)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

AXT, INC.

Date: July 9, 2025

By:

/s/ Gary L. Fischer

Gary L. Fischer

Chief Financial Officer and Corporate Secretary

0001051627false00010516272025-05-012025-05-01

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 Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On May 1, 2025, AXT, Inc. issued a press release announcing its financial results for the quarter ended March 31, 2025. A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended March 31, 2025, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated May 1, 2025, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2025. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated May 1, 2025, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2025.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: May 1, 2025 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272025-02-202025-02-20

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On February 20, 2025, AXT, Inc. issued a press release announcing its financial results for the quarter and fiscal year ended December 31, 2024.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter and fiscal year ended December 31, 2024, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated February 20, 2025, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2024. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated February 20, 2025, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2024.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: February 20, 2025 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272024-10-312024-10-31

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On October 31, 2024, AXT, Inc. issued a press release announcing its financial results for the quarter ended September 30, 2024. A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended September 30, 2024, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated October 31, 2024, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2024. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated October 31, 2024, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2024.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: October 31, 2024 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272024-08-012024-08-01

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On August 1, 2024, AXT, Inc. issued a press release announcing its financial results for the quarter ended June 30, 2024. A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended June 30, 2024, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated August 1, 2024, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2024. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated August 1, 2024, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2024.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: August 1, 2024 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272024-05-022024-05-02

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 Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On May 2, 2024, AXT, Inc. issued a press release announcing its financial results for the quarter ended March 31, 2024. A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended March 31, 2024, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated May 2, 2024, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2024. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated May 2, 2024, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2024.

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: May 2, 2024 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272024-04-082024-04-08

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​ ​ ​

Item 2.02 Results of Operations and Financial Condition ​ On April 8, 2024, AXT, Inc. issued a press release announcing certain unaudited preliminary revenue results for the first quarter ended March 31, 2024. A copy of the press release is furnished hereto as Exhibit 99.1 and is incorporated herein by reference. ​ The information in Exhibit 99.1 hereto discussing certain unaudited preliminary revenue results for the first quarter ended March 31, 2024, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits. ​ ​

​

​

​ ​ ​

Exhibit No.

Description

​ ​

99.1 ​ Press release, dated April 8, 2024

104 ​ Cover Page Interactive Data File (formatted as inline XBRL)

​ ​ ​ ​ ​ ​

​ ​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: April 8, 2024 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272024-02-222024-02-22

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On February 22, 2024, AXT, Inc. issued a press release announcing its financial results for the quarter and fiscal year ended December 31, 2023.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter and fiscal year ended December 31, 2023, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated February 22, 2024, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2023. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated February 22, 2024, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2023.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: February 22, 2024 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272023-11-022023-11-02

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On November 2, 2023, AXT, Inc. issued a press release announcing its financial results for the quarter ended September 30, 2023.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended September 30, 2023, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated November 2, 2023, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2023. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated November 2, 2023, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2023.

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: November 2, 2023 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272023-08-032023-08-03

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On August 3, 2023, AXT, Inc. issued a press release announcing its financial results for the quarter ended June 30, 2023.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended June 30, 2023, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated August 3, 2023, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2023. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated August 3, 2023, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2023.

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: August 3, 2023 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272023-07-032023-07-03

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

​ ​ Item 2.02 Results of Operations and Financial Condition. ​ On July 3, 2023, AXT, Inc. issued a press release addressing the potential impact of the announcement of China’s new export control regulations on gallium- and germanium-related materials, which take effect on August 1, 2023.  The press release includes a certain unaudited financial result for the first quarter ended March 31, 2023.  A copy of the press release is furnished as Exhibit 99.1 to this report and is incorporated by reference herein. ​ Item 7.01. Regulation FD Disclosure. ​ The information in Item 2.02 of this report is incorporated by reference into this Item 7.01. ​ The information in this report, including Exhibit 99.1, is being furnished and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor will it be incorporated by reference in any filing under the Securities Act of 1933, amended, or the Exchange Act, except as expressly set forth by specific reference in such filing. ​

Item 9.01 Financial Statements and Exhibits.

​ (d) Exhibits. ​ ​

​

​

​ ​ ​

Exhibit No.

Description

​ ​

99.1 ​ Press release, dated July 3, 2023

104 ​ Cover Page Interactive Data File (formatted as inline XBRL)

​ ​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​ ​

AXT, INC.

​ ​ ​

​ By: /s/ Gary L. Fischer ​

​ Date: July 5, 2023 ​ Gary L. Fischer Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272023-04-272023-04-27

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On April 27, 2023, AXT, Inc. issued a press release announcing its financial results for the quarter ended March 31, 2023.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended March 31, 2023, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated April 27, 2023, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2023. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated April 27, 2023, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2023.

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: April 27, 2023 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272023-02-162023-02-16

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) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

Item 2.02 Results of Operations and Financial Condition ​ On February 16, 2023, AXT, Inc. issued a press release announcing its financial results for the quarter and fiscal year ended December 31, 2022.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter and fiscal year ended December 31, 2022, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated February 16, 2023, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2022. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated February 16, 2023, regarding the financial results of AXT, Inc. for the quarter and fiscal year ended December 31, 2022.

​ ​ ​ ​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: February 16, 2023 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272022-10-272022-10-27

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 incorporation) ​ (Commission File Number) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​

​ ​ Item 2.02 Results of Operations and Financial Condition ​ On October 27, 2022 AXT, Inc. issued a press release announcing its financial results for the quarter ended September 30, 2022.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended September 30, 2022, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated October 27, 2022, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2022. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated October 27, 2022, regarding the financial results of AXT, Inc. for the quarter ended September 30, 2022.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: October 27, 2022 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272022-10-032022-10-03

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 incorporation) ​ (Commission File Number) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​ ​ ​

Item 2.02 Results of Operations and Financial Condition ​ On October 3, 2022, AXT, Inc. issued a press release announcing certain unaudited preliminary financial results for the third quarter, ended September 30, 2022. A copy of the press release is furnished hereto as Exhibit 99.1 and is incorporated herein by reference. ​ The information in Exhibit 99.1 hereto discussing certain unaudited preliminary financial results for the third quarter, ended September 30, 2022, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits. ​ ​

​

​

​ ​ ​

Exhibit No.

Description

​ ​

99.1 ​ Press release, dated October 3, 2022

104 ​ Cover Page Interactive Data File (formatted as inline XBRL)

​ ​ ​ ​ ​ ​

​ ​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: October 03, 2022 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​

0001051627false00010516272022-07-282022-07-28

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) ​ (Commission File Number) ​ (IRS Employer Identification No.)

​

​ 4281 Technology Drive Fremont, California 94538 (Address of principal executive offices) (Zip Code) ​ ​ Registrant’s telephone number, including area code: (510) 438-4700 ​ ​ Not Applicable (Former name or former address, if changed since last report) ​ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ​ ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ​ ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ​ ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ​ ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ​ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ​ Emerging growth company ☐ ​ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ ​ Securities registered pursuant to Section 12(b) of the Act: ​ Title of each class:

Trading Symbol

Name of each exchange on which registered:

Common Stock, $0.001 par value ​

AXTI

​ The NASDAQ Stock Market LLC

​ ​

​ Item 2.02 Results of Operations and Financial Condition ​ On July 28, 2022 AXT, Inc. issued a press release announcing its financial results for the quarter ended June 30, 2022.  A copy of the Company’s press release, announcing the results, is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information in Exhibit 99.1 hereto discussing the Company’s results of operations and financial condition for the quarter ended June 30, 2022, is being “furnished” in accordance with General Instruction B.2 of Form 8-K and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing. ​ ​ Item 9.01 Financial Statements and Exhibits ​ (d)       Exhibits ​ 99.1     Press release dated July 28, 2022, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2022. ​

​

EXHIBIT INDEX

​ Eptem

​

​

Exhibit Number

Description

99.1 ​ Press release dated July 28, 2022, regarding the financial results of AXT, Inc. for the quarter ended June 30, 2022.

104 ​ Cover Page Interactive Data File (embedded within the Inline XBRL document)

​ ​ ​

​

SIGNATURES

​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ​ ​

​

​

​

AXT, INC.

​ ​ ​

​ ​ ​

Date: July 28, 2022 By: /s/ Gary L. Fischer

​ ​ Gary L. Fischer

​ ​ Chief Financial Officer and Corporate Secretary

​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​