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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 10/03/22 Axt Inc. 8-K:2,9 10/03/22 11:179K Toppan Merrill Bridge/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 42K 2: EX-99.1 Miscellaneous Exhibit HTML 18K 6: R1 Document and Entity Information HTML 45K 9: XML IDEA XML File -- Filing Summary XML 12K 7: XML XBRL Instance -- axti-20221003x8k_htm XML 15K 8: EXCEL IDEA Workbook of Financial Reports XLSX 8K 4: EX-101.LAB XBRL Labels -- axti-20221003_lab XML 44K 5: EX-101.PRE XBRL Presentations -- axti-20221003_pre XML 30K 3: EX-101.SCH XBRL Schema -- axti-20221003 XSD 13K 10: JSON XBRL Instance as JSON Data -- MetaLinks 11± 16K 11: ZIP XBRL Zipped Folder -- 0001558370-22-014787-xbrl Zip 19K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM i 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): i October 03, 2022
i AXT, INC.
(Exact name of registrant as specified in its charter)
| | | | |
i Delaware |
|
| i 94-3031310 | |
(State or other jurisdiction of incorporation) | | (Commission File Number) | | (IRS Employer Identification No.) |
i 4281 Technology Drive
i Fremont, i California i 94538
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: ( i 510) i 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):
i ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
i ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
i ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
i ☐ 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 i ☐
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: |
i Common Stock, $0.001 par value | | i AXTI | | i 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 |
| Description |
| | |
99.1 | | |
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.
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| AXT, INC. | |
| | |
| | |
Date: October 03, 2022 | By: | /s/ Gary L. Fischer |
| | |
| | Chief Financial Officer and Corporate Secretary |
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
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| Filed on / For Period end: | 10/3/22 | None on these Dates | ||
| 9/30/22 | ||||
| List all Filings | ||||