AXT INC
For the period ended Jun 30, 2024. Filed Aug 9, 2024.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2024 · Filed Aug 9, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
a. Exhibits
| ExhibitNumber | | Description |
| | | |
| 10.1(1)* | | 2015 Equity Incentive Plan, as amended |
| 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) |
(1) Incorporated by reference to exhibit 10.1 to registrant’s Form 8-K filed with the SEC on May 20, 2024.
*Management contract or compensatory plan.
† 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.
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