8-K 1 form8k.htm AXT, INC 8-K 4-30-2014
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM 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): April 30, 2014

AXT, INC.
(Exact name of registrant as specified in its charter)
 
 
Delaware
000-24085
94-3031310
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)
 
4281 Technology Drive
Fremont, California  94538
(Address of principal executive offices) (Zip Code)
 
 
Registrant’s telephone number, including area code:  (510) 683-5900

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):
 
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Item 2.02 Results of Operations and Financial Condition

On April 30, 2014, AXT, Inc. issued a press release announcing its financial results for the quarter ended March 31, 2014.  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, 2014, 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

99.1 Press release dated April 30, 2014, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2014.

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.
 
 
 
AXT, INC.
 
 
 
Date:  April 30, 2014
 
By: /s/ Morris S. Young                  
 
 
 
            Morris S. Young
 
 
Interim Chief Financial Officer and Corporate Secretary
 
EXHIBIT INDEX

Exhibit
Number
 
Description
 
 
 
 
Press release dated April 30, 2014, regarding the financial results of AXT, Inc. for the quarter ended March 31, 2014.