- Notification that Annual Report will be submitted late (NT 10-K)
March 16 2009 - 4:22PM
Edgar (US Regulatory)
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OMB APPROVAL
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25
NOTIFICATION OF LATE FILING
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OMB Number: 3235-0058
Expires: April 30, 2009
Estimated average burden hours per response . . . 2.50
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SEC FILE NUMBER
000-24085
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CUSIP NUMBER
00246W103
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(Check
one):
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x
Form 10-K
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o
Form 20-F
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o
Form 11-K
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o
Form 10-Q
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o
Form 10-D
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o
Form N-SAR
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o
Form N-CSR
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For Period
Ended:
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December 31, 2008
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o
Transition Report on Form 10-K
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o
Transition Report on Form 20-F
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o
Transition Report on Form 11-K
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o
Transition Report on Form 10-Q
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o
Transition Report on Form N-SAR
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For the
Transition Period Ended:
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Read Instructions (on back
page) Before Preparing Form. Please Print or Type.
Nothing in this form shall be construed to imply that the Commission has
verified any information contained herein.
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If the
notification relates to a portion of the filing checked above, identify the
Item(s) to which the notification relates:
PART I REGISTRANT INFORMATION
AXT,
Inc.
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Full Name of
Registrant
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N/A
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Former Name if
Applicable
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4281
Technology Drive
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Address of
Principal Executive Office
(Street and
Number)
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Fremont,
California 94538
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City, State and
Zip Code
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PART II RULES 12b-25(b) AND (c)
If the subject
report could not be filed without unreasonable effort or expense and the
registrant seeks relief pursuant to Rule 12b-25(b),
the following should be completed. (Check box if appropriate)
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(a)
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The reason
described in reasonable detail in Part III of this form could not be
eliminated without unreasonable effort or expense
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x
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(b)
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The subject
annual report, semi-annual report, transition report on Form 10-K,
Form 20-F, Form 11-K, Form N-SAR or Form N-CSR,
or portion thereof, will be filed on or before the fifteenth calendar day
following the prescribed due date; or the subject quarterly report or
transition report on Form 10-Q or subject distribution report on
Form 10-D, or portion thereof, will be filed on or before the
fifth calendar day following the prescribed due date; and
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(c)
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The accountants
statement or other exhibit required by Rule 12b-25(c) has been
attached if applicable.
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PART III NARRATIVE
State below in reasonable detail why Forms 10
-
K, 20
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F, 11
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K, 10
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Q, 10
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D, N
-
SAR, N
-
CSR, or the transition
report or
portion
thereof, could not be filed within the prescribed time period.
The Registrant is unable to file, without
unreasonable effort and expense, its Annual Report on Form 10-K for the fiscal
year ended December 31, 2008 by the prescribed filing date of March 16, 2009
because the Company has not completed the processes for the year-end
preparation and audit of its financial statements and is continuing its
assessment of its internal control over financial reporting. The Registrant expects to file its Form 10-K
within fifteen calendar days after the filing deadline.
SEC 1344 (05-06)
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Persons who are to respond to the collection of
information contained in this form are not required to respond unless the
form displays a currently valid OMB control number.
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(Attach extra
Sheets if Needed)
PART IV OTHER INFORMATION
(1)
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Name and
telephone number of person to contact in regard to this notification
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Wilson W. Cheung, Chief Financial Officer
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(510)
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438-4735
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(Name)
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(Area Code)
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(Telephone Number)
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(2)
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Have all other
periodic reports required under Section 13 or 15(d) of the Securities
Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940
during the preceding 12 months or for such shorter period that the registrant
was required to file such report(s) been filed? If answer is no, identify
report(s).
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x
Yes
o
No
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(3)
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Is it
anticipated that any significant change in results of operations from the
corresponding period for the last fiscal year will be reflected by the
earnings statements to be included in the subject report or portion thereof?
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x
Yes
o
No
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If so, attach an
explanation of the anticipated change, both narratively and quantitatively,
and, if appropriate, state the reasons why a reasonable estimate of the
results cannot be made.
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The Companys
results of operations for the year ended December 31, 2008, to be reported in
the annual report on Form 10 K, will reflect significant changes from the
prior year, unrelated to the causes for the delay described in Part III. On February 25, 2009, the Company issued a
press release reporting its results for the year ended December 31, 2008, a
copy of which was furnished with a report on Form 8 K on February 25, 2009.
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AXT, Inc.
(Name of Registrant as
Specified in Charter)
has
caused this notification to be signed on
its behalf by the undersigned hereunto duly authorized.
Date
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March
16, 2009
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By
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/s/ Wilson W. Cheung
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Wilson W. Cheung
Chief Financial Officer
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INSTRUCTION: The
form may be signed by an executive officer of the registrant or by any other
duly authorized representative. The name and title of the person signing the
form shall be typed or printed beneath the signature. If the statement is
signed on behalf of the registrant by an authorized representative (other than an executive officer), evidence of the representatives
authority to sign on behalf of the registrant shall be filed with the form.
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ATTENTION
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Intentional misstatements or omissions
of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).
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