{"url_path":"/sec/axti/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 Exhibits**","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-14","source_url":"https://www.sec.gov/Archives/edgar/data/1051627/0001437749-26-017054-index.html","accession_number":"0001437749-26-017054","cik":"0001051627","ticker":"AXTI","issuer_name":"AXT INC","edgar_url":"https://www.sec.gov/Archives/edgar/data/1051627/0001437749-26-017054-index.html","primary_entity_key":"0001051627","primary_entity_name":"AXT INC"},"word_count":356,"has_tables":true,"body_markdown":"**Item 6. Exhibits**\n\n \n\n**a. Exhibits**\n\n \n\n**Exhibit**\n**Number**\n\n \n\n**Description**\n\n \n \n \n\n10.1(1)\n \n[Form of Lock-Up Agreement (April 2026).](http://www.sec.gov/Archives/edgar/data/1051627/000121390026045867/ea028695701ex10-1.htm)\n\n \n \n \n\n31.1\n\n \n\n[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.](ex_906114.htm)\n\n \n \n \n\n31.2\n\n \n\n[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.](ex_906115.htm)\n\n \n \n \n\n32.1†\n\n \n\n[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.](ex_906116.htm)\n\n \n \n \n\n32.2†\n\n \n\n[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.](ex_906117.htm)\n\n101.INS\n\n \n\nInline XBRL Instance.\n\n101.SCH\n\n \n\nInline XBRL Taxonomy Extension Schema.\n\n101.CAL\n\n \n\nInline XBRL Taxonomy Extension Calculation Linkbase.\n\n101.DEF\n\n \n\nInline XBRL Taxonomy Extension Definition Linkbase.\n\n101.LAB\n\n \n\nInline XBRL Taxonomy Extension Label Linkbase.\n\n101.PRE\n\n \n\nInline XBRL Taxonomy Extension Presentation Linkbase.\n\n104\n\n \n\nCover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101)\n\n \n\n \n\n(1) Incorporated by reference to Exhibit 10.1 to Form 8-K filed with the Securities and Exchange Commission on April 21, 2026.\n\n \n\n† 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.\n\n \n\n78\n\n[Table of Contents](#toc)\n\n \n\n**SIGNATURES**\n\n \n\nPursuant 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.\n\n \n\n \n\nAXT, INC.\n\n \n \n \n\nDated: May 14, 2026\n\nBy:\n\n/s/ MORRIS S. YOUNG\n\n \n \n\nMorris S. Young\n\n \n \n\n*Chief Executive Officer and Chairman of the Board of Directors*\n\n \n \n\n*(Principal Executive Officer)*\n\n \n \n \n\n \n \n\n/s/ GARY L. FISCHER\n\n \n \n\nGary L. Fischer\n\n \n \n\n*Chief Financial Officer and Corporate Secretary*\n\n \n \n\n*(Principal Financial Officer and* *Principal Accounting Officer)*\n\n \n\n79"}