Results of Operations and Financial Condition On July 30, 2026, AXT, Inc. issued a press release announcing its financial results for the quarter ended June 30, 2026. 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, 2026, is being “furnished” in accordance with General…

Entry into a Material Definitive Agreement. On July 26, 2026, AXT Inc., a Delaware corporation, (the “Registrant”, and collectively with its affiliates, “AXT”) and Lumentum Operations LLC, a Delaware limited liability company (collectively with its affiliates, “Lumentum”) entered into a Capacity Reservation Agreement (the “Agreement”) for the supply and capacity reservation of indium phosphide (“InP”) wafer substrates (the “Products”). Under the terms of the Agreement, AXT has agreed to reser…

Material Modification to Rights of Security Holders. The information set forth under

Director — Jia-Bin Duh: Election of Jia-Bin Duh to the Board as a Class III Director and independent director.

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement. On June 26, 2026, Beijing Tongmei Xtal Technology Co., Ltd. (“Tongmei”), a majority controlled subsidiary of AXT, Inc. (the “Company”), notified the Shanghai Stock Exchange that it was withdrawing its application for an initial public offering (“IPO”) on the exchange’s STAR Market (the “STAR Market”), and o n July 8, 2026 the Shanghai Stock Exchange published th…

Director — Tracy Liu: The Board of Directors elected Tracy Liu as a new Class II Director and independent director.

Entry into a Material Definitive Agreement. On June 11, 2026, Beijing Tongmei Xtal Technology Co., Ltd. (“Tongmei”), the subsidiary of AXT, Inc., a Delaware corporation, entered into a Long-term Supply Agreement (the “Agreement”) with Nanjing Casela Technologies Corporation, Ltd. (“Casela”). The Agreement establishes an arrangement under which Tongmei reserves production capacity and raw-material allocation for, and grants supply priority to, Casela in exchange for Caela’s binding commitment…

Material Modification to Rights of Security Holders. The information contained in

Results of Operations and Financial Condition On April 30, 2026, AXT, Inc. issued a press release announcing its financial results for the quarter ended March 31, 2026. 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, 2026, is being “furnished” in accordance with Gene…

Entry into a Material Definitive Agreement. Underwriting Agreement On April 21, 2026, AXT, Inc., a Delaware corporation (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Northland Securities, Inc., as representative of the underwriters named therein (the “Underwriters”) related to the offer and sale of shares of the Company’s common stock (the “Offering”). The Underwriting Agreement provides for the offer and sale by the Company, and the purchase by th…

Results of Operations and Financial Condition On April 20, 2026, AXT, Inc. (the “Company”) in a prospectus supplement filed with Securities and Exchange Commission pursuant to Rule 424(b)(5) of the Securities Act of 1933, as amended (“Securities Act”), disclosed that its anticipated revenues for the three months ended March 31, 2026, will range between $28 million and $26 million and its anticipated net loss attributed to the Company for the three months ended March 31, 2026, will range betwe…

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, i…

Chair of the Audit Committee — Mr. Leonard J. LeBlanc: Mr. LeBlanc was appointed as the Chair of the Audit Committee after being determined to be an independent director.

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.

Entry into a Material Definitive Agreement. Underwriting Agreement On December 29, 2025, AXT, Inc., a Delaware corporation (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Northland Securities, Inc., as representative of the underwriters named therein (the “Underwriters”) related to the offer and sale of shares of the Company’s common stock (the “Offering”). The Underwriting Agreement provides for the offer and sale by the Company, and the purchase by…

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…

Regulation FD Disclosure. In August 2025, Beijing Tongmei Xtal Technology Co., Ltd. (“Tongmei”), a subsidiary of AXT, Inc. (the “Company”), was informed that it has satisfied the applicable requirements for a permit to export indium phosphide and has received export permits from the Ministry of Commerce of the People’s Republic of China to resume shipping indium phosphide substrates to certain additional customers. We believe this will result in several million dollars in revenue that was not…

Director — Leonard J. Leblanc: Mr. Leonard J. LeBlanc was appointed to the Board of Directors to fill a vacancy.

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…

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing . (a) As previously, on July 14, 2025, AXT, Inc. (the “Company”) notified The Nasdaq Stock Market (“Nasdaq”) that as a result of the recent passing of Ms. Christine Russell, the Company is not compliant with Nasdaq Lising Rule 5605(c)(2)(A) as the Company’s Audit Committee currently consists of only two independent directors, rather than the minimum three independent directors as required by Na…

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing . (a) As previously, on July 14, 2025, AXT, Inc. (the “Company”) notified The Nasdaq Stock Market (“Nasdaq”) that as a result of the recent passing of Ms. Christine Russell, the Company is not compliant with Nasdaq Lising Rule 5605(c)(2)(A) as the Company’s Audit Committee currently consists of only two independent directors, rather than the minimum three independent directors as required by Na…

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing . AXT, Inc. (the “Company”) is saddened to report that Ms. Christine Russell, a member of the Company’s Board of Directors (the "Board"), passed away on July 11, 2025. Ms. Russell joined the Company’s Board in December 2019 as an independent director. Ms. Russell served as Chair of the Audit Committee and was a member of the Compensation Committee and the Nominating and Corporate Governance Com…

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.

Regulation FD Disclosure. On June 11, 2025, Beijing Tongmei Xtal Technology Co., Ltd. (“Tongmei”), a subsidiary of AXT, Inc. (the “Company”), was informed that it has satisfied the applicable requirements for a permit to export indium phosphide and has received its initial export permits from the Ministry of Commerce of the People’s Republic of China to resume shipping indium phosphide substrates to certain customers. This follows the Feb. 4, 2025 announcement by the Ministry of Commerce and…

The excerpt is incomplete and does not provide sufficient information to determine the nature of the event.