<SEC-DOCUMENT>0001558370-16-002937.txt : 20160106
<SEC-HEADER>0001558370-16-002937.hdr.sgml : 20160106
<ACCEPTANCE-DATETIME>20160106161011
ACCESSION NUMBER:		0001558370-16-002937
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20160106
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20160106
DATE AS OF CHANGE:		20160106

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			AXT INC
		CENTRAL INDEX KEY:			0001051627
		STANDARD INDUSTRIAL CLASSIFICATION:	SEMICONDUCTORS & RELATED DEVICES [3674]
		IRS NUMBER:				943031310
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-24085
		FILM NUMBER:		161326909

	BUSINESS ADDRESS:	
		STREET 1:		4281 TECHNOLOGY DR.
		CITY:			FREMONT
		STATE:			CA
		ZIP:			94538
		BUSINESS PHONE:		510.438.4734

	MAIL ADDRESS:	
		STREET 1:		4281 TECHNOLOGY DR.
		CITY:			FREMONT
		STATE:			CA
		ZIP:			94538

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	AMERICAN XTAL TECHNOLOGY
		DATE OF NAME CHANGE:	19971217
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>axti-20160106x8k.htm
<DESCRIPTION>8-K
<TEXT>
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			axti_Current_Folio_8K_20160106
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			<font style="display:inline;font-size:18pt;">UNITED STATES</font>
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			<font style="display:inline;font-weight:bold;font-size:18pt;">SECURITIES AND EXCHANGE COMMISSION</font>
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			<font style="display:inline;font-weight:bold;font-size:10pt;">Washington, DC 20549</font>
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			<font style="display:inline;font-weight:bold;font-size:16pt;">FORM 8</font><font style="display:inline;font-weight:bold;font-size:16pt;">&#8209;K</font>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 12pt;">
			<font style="display:inline;font-weight:bold;">CURRENT REPORT</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 12pt;">
			<font style="display:inline;font-weight:bold;">Pursuant to Section 13 or 15(d) of</font>
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			<font style="display:inline;font-weight:bold;">The Securities Exchange Act of 1934</font>
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			<font style="display:inline;font-size:10pt;">Date of Report (Date of earliest event reported)</font>
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			<font style="display:inline;">January 6</font><font style="display:inline;">, 201</font><font style="display:inline;">6</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 18pt;">
			<font style="display:inline;font-weight:bold;font-size:18pt;">AXT, INC.</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">(Exact name of registrant as specified in its charter)</font>
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					<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;font-weight:bold;font-size:10pt;text-decoration:underline;">000-24085</font></p>
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						<font style="display:inline;font-weight:bold;font-size:10pt;text-decoration:underline;">94-3031310</font></p>
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						<font style="display:inline;font-size:10pt;">(State or other jurisdiction of</font><font style="display:inline;font-size:10pt;">&nbsp;</font><font style="display:inline;font-size:10pt;">incorporation)</font></p>
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						<font style="display:inline;font-size:10pt;">(Commission File Number)</font></p>
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						<font style="display:inline;font-size:10pt;">(IRS Employer</font><br /><font style="display:inline;font-size:10pt;"></font><font style="display:inline;font-size:10pt;">Identification No.)</font></p>
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			<font style="display:inline;font-weight:bold;font-size:10pt;">4281 Technology Drive</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-weight:bold;font-size:10pt;">Fremont, California 94538</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">(Address of principal executive offices, including zip code)</font>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-weight:bold;font-size:10pt;">(510) </font><font style="display:inline;font-weight:bold;font-size:10pt;">438-4700</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">(Registrant&#x2019;s telephone number, including area code)</font>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-weight:bold;font-size:10pt;">Not Applicable</font>
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			<font style="display:inline;font-size:10pt;">(Former name or former address, if changed since last report)</font>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<p style="margin:5pt 0pt;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">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):</font>
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		<p style="margin:5pt 0pt 5pt 14.25pt;text-indent: -14.25pt;border-top:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">[&nbsp;&nbsp;] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font>
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		<p style="margin:5pt 0pt 5pt 14.25pt;text-indent: -14.25pt;border-top:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">[&nbsp;&nbsp;] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font>
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			<font style="display:inline;font-size:10pt;">[&nbsp;&nbsp;] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font>
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			<font style="display:inline;">[&nbsp;&nbsp;] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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			<font style="display:inline;"></font></p></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;">
		<p><font size="1"> </font></p><div style="width:100%">

		<p style="margin:0pt 18pt 0pt 0pt;font-family:Times New Roman;font-size: 12pt;">

			&nbsp;

		</p>

</div></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;"><hr align="center" style='background-color:#000000; border-width:0; color:#000000; height:2pt; lineheight:0; width:100%;'></hr><p style="page-break-after:always">&nbsp;</p></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;"></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;"><p style="margin:0pt;font-family:Times New Roman;font-size: 12pt;"><font style="display:inline;">&nbsp;</font>
		</p>
		<p style="margin:0pt;line-height:100%;text-align:left;text-justify:inter-ideograph;font-weight:bold;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">Item 5.02.&nbsp;&nbsp;Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</font>
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		<p style="margin:7.95pt 0pt 0pt;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">(b)</font>
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		<p style="margin:7.95pt 0pt 0pt;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;;font-size: 10pt;font-family:Times New Roman;text-indent:0pt;margin-left:0pt;padding:0pt 36pt 0pt 0pt;"></font><font style="display:inline;font-size:10pt;">On </font><font style="display:inline;font-size:10pt;">January 6, 2016</font><font style="display:inline;font-size:10pt;">, &nbsp;</font><font style="display:inline;font-size:10pt;">Hong Q. Hou</font><font style="display:inline;font-size:10pt;">&nbsp;</font><font style="display:inline;font-size:10pt;">notified </font><font style="display:inline;font-size:10pt;">AXT, Inc. </font><font style="display:inline;font-size:10pt;">(</font><font style="display:inline;font-size:10pt;">the &#x201C;Company&#x201D;) of his decision to resign </font><font style="display:inline;font-size:10pt;">as </font><font style="display:inline;font-size:10pt;">Chief Operating Officer</font><font style="display:inline;font-size:10pt;"> of the Company</font><font style="display:inline;font-size:10pt;">.&nbsp;&nbsp;His resignation will be </font><font style="display:inline;font-size:10pt;">effective as of </font><font style="display:inline;font-size:10pt;">January 8</font><font style="display:inline;font-size:10pt;">, 201</font><font style="display:inline;font-size:10pt;">6</font><font style="display:inline;font-size:10pt;">.</font>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<p style="margin:0pt;text-align:center;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;"></font>
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		<p style="margin:0pt;line-height:100%;text-align:center;font-weight:bold;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;"></font></p></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;">
		<p><font size="1"> </font></p><div style="width:100%">

		<p style="margin:0pt 18pt 0pt 0pt;font-family:Times New Roman;font-size: 12pt;">

			&nbsp;

		</p>

</div></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;"><hr align="center" style='background-color:#000000; border-width:0; color:#000000; height:2pt; lineheight:0; width:100%;'></hr><p style="page-break-after:always">&nbsp;</p></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;"></div><div style="margin-left:12.5816993464052%;margin-right:12.5816993464052%;"><p style="margin:0pt;line-height:100%;text-align:center;font-weight:bold;font-family:Times New Roman;font-size: 10pt;"><font style="display:inline;font-size:10pt;">SIGNATURES</font>
		</p>
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			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<p style="margin:0pt;text-indent:37.05pt;text-align:justify;text-justify:inter-ideograph;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;">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.</font>
		</p>
		<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">&nbsp;</font>
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		<div style="width:100%;"><table cellpadding="0" cellspacing="0" style="border-collapse:collapse;width: 100.00%;margin-left:0pt;">
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						<font style="display:inline;font-size:10pt;">&nbsp;</font></p>
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				<td valign="top" style="width:48.02%;padding:0pt;">
					<p style="margin:0pt;font-family:Times New Roman;font-size: 12pt;">
						&nbsp;</p>
				</td>
				<td colspan="2" valign="top" style="width:48.12%;padding:0pt;">
					<p style="margin:0pt;font-weight:bold;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;">AXT, Inc.</font></p>
				</td>
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						<font style="display:inline;font-size:10pt;">&nbsp;</font></p>
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						&nbsp;</p>
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				<td colspan="2" valign="top" style="width:48.12%;padding:0pt;">
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						&nbsp;</p>
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						<font style="display:inline;font-size:10pt;">&nbsp;</font></p>
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					<p style="margin:0pt;text-align:right;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;font-size:10pt;">By:</font></p>
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				<td valign="top" style="width:30.52%;border-bottom:1pt solid #000000 ;padding:0pt;">
					<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;font-size:10pt;">/s/ </font><font style="display:inline;font-size:10pt;">Gary </font><font style="display:inline;font-size:10pt;">L. </font><font style="display:inline;font-size:10pt;">Fischer</font></p>
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					<p style="margin:0pt;font-family:Times New Roman;font-size: 12pt;">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;font-size:10pt;">&nbsp;</font></p>
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				<td valign="top" style="width:48.02%;padding:0pt;">
					<p style="margin:0pt;text-align:right;font-family:Times New Roman;font-size: 12pt;">
						&nbsp;</p>
				</td>
				<td colspan="2" valign="top" style="width:48.12%;padding:0pt;">
					<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;font-size:10pt;">Gary </font><font style="display:inline;font-size:10pt;">L. </font><font style="display:inline;font-size:10pt;">Fischer</font></p>
					<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
						<font style="display:inline;font-size:10pt;">Chief Financial</font><font style="display:inline;font-size:10pt;"> Officer</font><font style="display:inline;font-size:10pt;"> and Corporate Secretary</font></p>
				</td>
			</tr>
		</table></div>
		<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">&nbsp;</font>
		</p>
		<p style="margin:0pt;font-family:Times New Roman;font-size: 10pt;">
			<font style="display:inline;font-size:10pt;">Date:&nbsp; </font><font style="display:inline;font-size:10pt;">January 6</font><font style="display:inline;font-size:10pt;">, 201</font><font style="display:inline;font-size:10pt;">6</font>
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