AXT INC 10-Q

Item 5. Other Information ​ During our last fiscal quarter, no director or officer, as defined in Rule 16a-1(f) of the Exchange Act, adopted or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” each as defined in Regulation S-K Item 408. 80 Table of Contents ​ Item 6. Exhibits ​ a. Exhibits ​ Exhibit Number ​ Description ​ ​ ​ ​ ​ ​ 31.1 ​ Certification by Chief Executive Officer Pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ 31.2 ​ Certification by Chief Financial Officer Pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted 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) † The certifications attached as Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of AXT, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing. ​ ​ ​ ​ 81 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: May 10, 2024 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) ​ ​ ​ 82