AXT INC 10-Q

Item 5. Other Information ​ None ​ 74 Table of Contents ​ Item 6. Exhibits ​ a. Exhibits ​ Exhibit Number ​ Description ​ ​ ​ 10.1(1)* ​ ​ 2015 Equity Incentive Plan, as amended 31.1 ​ Certification by Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 31.2 ​ Certification by Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 32.1 ​ Certification by Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 32.2 ​ Certification by Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 . 101.INS ​ Inline XBRL Instance. 101.SCH ​ Inline XBRL Taxonomy Extension Schema. 101.CAL ​ Inline XBRL Taxonomy Extension Calculation Linkbase. 101.DEF ​ Inline XBRL Taxonomy Extension Definition Linkbase. 101.LAB ​ Inline XBRL Taxonomy Extension Label Linkbase. 101.PRE ​ Inline XBRL Taxonomy Extension Presentation Linkbase. 104 ​ Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) (1) Incorporated by reference to appendix A to the registrant’s Definitive Proxy Statement on Schedule 14A filed with the SEC on April 9, 2021. * Management contract or compensatory plan. ​ ​ 75 Table of Contents ​ EXHIBIT INDEX ​ ​ ​ ​ ​ ​ ​ Exhibit ​ ​ Number ​ Description ​ ​ ​ 10.1(1)* ​ ​ 2015 Equity Incentive Plan, as amended 31.1 ​ Certification by Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 31.2 ​ Certification by Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 32.1 ​ Certification by Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 32.2 ​ Certification by Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101.INS ​ Inline XBRL Instance. 101.SCH ​ Inline XBRL Taxonomy Extension Schema. 101.CAL ​ Inline XBRL Taxonomy Extension Calculation Linkbase. 101.DEF ​ Inline XBRL Taxonomy Extension Definition Linkbase. 101.LAB ​ Inline XBRL Taxonomy Extension Label Linkbase. 101.PRE ​ Inline XBRL Taxonomy Extension Presentation Linkbase. 104 ​ Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) ​ (1) Incorporated by reference to appendix A to the registrant’s Definitive Proxy Statement on Schedule 14A filed with the SEC on April 9, 2021. * Management contract or compensatory plan ​ ​ ​ 76 Table of Contents 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, thereunto duly authorized. ​ ​ ​ ​ ​ AXT, INC. ​ ​ ​ Dated: August 12, 2021 By: /s/ MORRIS S. YOUNG ​ ​ Morris S. Young ​ ​ Chief Executive Officer and Chairman of the Board of Directors ​ ​ (Principal Executive Officer) ​ ​ ​ ​ ​ /s/ GARY L. FISCHER ​ ​ Gary L. Fischer ​ ​ Chief Financial Officer and Corporate Secretary ​ ​ (Principal Financial Officer and Principal Accounting Officer) ​ ​ ​ 77