AAOI SEC Filings - Applied Optoelectronics, Inc.- Annual Report, Proxy Statement, Prospectus

Basic Stats

LEI	529900I8U6Q5SYDNLT48
CIK	1158114

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Applied Optoelectronics, Inc.

SEC Filings (Chronological Order)

This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.

September 4, 2025	8-K	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): September 1, 2025 Applied Optoele 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): September 1, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number)
September 4, 2025	EX-10.1	Premises Lease Agreement Exhibit 10.1 Premises Lease Agreement Parties: Lessor: International Games System Co., Ltd. (hereinafter referred to as "Party A") Lessee: Prime World International Holdings Ltd., Taiwan Branch (hereinafter referred to as "Party B") This lease agreement (“Agreement”) is entered into by and between the parties for the lease of the factory premises under the terms and conditions set forth below: Sec
August 27, 2025	EX-1.1	Equity Distribution Agreement Exhibit 1.1 Equity Distribution Agreement August 27, 2025 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Needham & Company, LLC 250 Park Avenue New York, New York 10177 Ladies and Gentlemen: APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Raymond James & Associates, Inc. and Needham & Company
August 27, 2025	8-K	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): August 27, 2025 Applied Optoelect 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): August 27, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Comm
August 27, 2025	EX-FILING FEES	Security Type Calculation of Filing Fee Tables S-3 APPLIED OPTOELECTRONICS, INC. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forwa
August 27, 2025	424B5	$150,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-283905 PROSPECTUS SUPPLEMENT (To Prospectus dated December 18, 2024) $150,000,000 Applied Optoelectronics, Inc. Common Stock We have entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. (“Raymond James”) and Needham & Company, LLC (“Needham”), or the sales agreement, relating to shares of our
August 26, 2025	EX-10.1	Agreement to Terminate Land and Building Lease Exhibit 10.1 Agreement to Terminate Land and Building Lease WHEREAS, Prime World International Holdings Ltd., Taiwan Branch (the original lessee, hereinafter referred to as “Party B”), and San Ho Electric Machinery Industry Co., Ltd. (the original lessor, hereinafter referred to as “Party A”), entered into a Land and Building Lease Agreement dated June 7, 2025 (the “Original Lease”), pursuant to w
August 26, 2025	8-K	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): August 20, 2025 Applied Optoelect 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): August 20, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I
August 7, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
August 7, 2025	EX-99.1	Applied Optoelectronics Reports Second Quarter 2025 Results Exhibit 99.1 Applied Optoelectronics Reports Second Quarter 2025 Results Sugar Land, Texas, August 7, 2025 – Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI”), a leading provider of advanced optical and HFC networking products that power the internet, today announced financial results for its second quarter ended June 30, 2025. “We’re pleased to deliver revenue and gross margin in line with our
August 7, 2025	8-K	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): August 7, 2025 Applied Optoelectr 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): August 7, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.
August 6, 2025	EX-10.1	Loan and Security Agreement, dated July 31, 2025, between Applied Optoelectronics, Inc. and BOKF, NA dba BOK Financial. Exhibit 10.1 Exhibit 10.1 LOAN AND SECURITY AGREEMENT among Applied optoelectronics, inc., as Borrower THE LENDERS THAT ARE PARTIES HERETO as the Lenders, BOKF, NA DBA BOK FINANCIAL as Administrative Agent Table of Contents Page 1. Definitions. 1 2. Loans and Letters of Credit. 25 2.1 Revolving Loan Terms; Borrowing Base; Letters of Credit 25 2.2 [Reserved] 29 2.3 Term; Effective Date 29 2.4 Borro
August 6, 2025	EX-10.2	Revolving Note, dated July 31, 2025, between Applied Optoelectronics, Inc. and BOKF, NA dba BOK Financial. Exhibit 10.2 Execution Version REVOLVING NOTE $35,000,000 July 31, 2025 FOR VALUE RECEIVED, APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Borrower”), hereby promises to pay to the order of BOKF, NA DBA BOK FINANCIAL (the “Lender”), at the offices of the Administrative Agent as set forth in the Loan Agreement (as defined below): (i) on the Termination Date or (ii) earlier as provided
August 6, 2025	8-K	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): July 31, 2025 Applied Optoelectro 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): July 31, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
August 4, 2025	EX-10.2	Translation of the Maximum Mortgage Contract (Security Agreement), dated July 29, 2025, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. Exhibit 10.2 No.:xxxxxxxxxxxxxxx Maximum Mortgage Contract Contract Version No.: SPDB202112 Maximum Mortgage Contract Mortgagee: Shanghai Pudong Development Bank Co., Ltd. Ningbo Branch Mortgagor: Global Technology, Inc. WHEREAS, In order to ensure the debtor's full and timely performance of its obligations under the Principal Contract, and guarantee the realization of the creditor's rights of the
August 4, 2025	EX-10.1	Translation of the Financing Credit Line Agreement, dated July 29, 2025, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd Exhibit 10.1 No.:xxxxxxxxxxxxxxxxxxx Financing Credit Line Agreement Contract Version No.: SPDB202401 Financing Credit Line Agreement Company: Global Technology, Inc. (hereinafter referred to as "the Client") Principal Business Address: No.88, Qiushi Rd., Wangchun Industrial Park, Ningbo, China Contact Person: Li, Haiying Tel.: 13755236244 Fax:/ Email:/ Bank: Shanghai Pudong Development Bank Co.,
August 4, 2025	8-K	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): July 29, 2025 Applied Optoelectro 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): July 29, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
July 23, 2025	EX-10.1	Translation of the Working Capital Loan Contract (RMB82,000,000), between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd., dated July 18, 2025. Exhibit 10.1 No.:xxxxxxxxxxxxxx Working Capital Loan Contract Contract Version No.: SPDB202406 Working Capital Loan Contract Working Capital Loan Contract Borrower: GLOBAL Technology, Inc. Principal Business Address: No. 88 Qiushi Road, Wangchun Industrial Park, Haishu District, Ningbo Contact: Li, Haiying Tel.: 13755236244 Fax: / Email: / Lender: Shanghai Pudong Development Bank Co., Ltd. Ningbo
July 23, 2025	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): July 18, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
July 1, 2025	EX-10.1	Translation of the Maximum Loan (Credit) Contract (Credit Line Agreement), dated June 26, 2025, between Global Technology, Inc. and China Construction Bank Co., Ltd. Exhibit 10.1 Maximum Loan (Credit) Contract No. HTCxxxxxxxxxxxxxxxxxxxxx Debtor (Party A): GLOBAL Technology Inc. Domicile: No. 88 Qiushi Road, Wangchun Industrial Park, Ningbo, Zhejiang Province Postal Code: 315000 Legal Representative (Principal): Lin Chih-Hsiang Fax:: BLANK Tel.: 0574-88133818 Creditor (Party B): China Construction Bank Ningbo Yinzhou Branch Domicile: No. 500 Taikang Middle Roa
July 1, 2025	8-K	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): June 26, 2025 Applied Optoelectro 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): June 26, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
July 1, 2025	EX-10.2	Translation of the Maximum Mortgage Contract (Security Agreement), dated June 26, 2025, between Global Technology, Inc. and China Construction Bank Co., Ltd. Exhibit 10.2 Maximum Mortgage Contract Contract No.: HTCxxxxxxxxxxxxxxxxxxxxx Mortgagor (Party A): GLOBAL Technology Inc. Domicile: No. 88 Qiushi Road, Wangchun Industrial Park, Ningbo, Zhejiang Province Postal Code: 315000 Legal Representative (Principal): Lin Chih-Hsiang Fax: 0574-88133818 Tel.: 0574-88133818 Mortgagee (Party B): China Construction Bank Ningbo Yinzhou Branch Domicile: No. 500 Ta
June 18, 2025	EX-10.1	Translation of the RMB Working Capital Loan Contract (RMB 96,800,000), between Global Technology, Inc. and China Construction Bank Co., Ltd., dated June 12, 2025. Exhibit 10.1 RMB Working Capital Loan Contract Contract No.: XXXXXXXXXXXXXXX Borrower (Party A): GLOBAL Technology Inc. Domicile: No. 88 Qiushi Road, Wangchun Industrial Park, Ningbo, Zhejiang Province Postal Code: 315000 Legal Representative (Principal): Lin Chih-Hsiang Fax: 0574-88133818 Tel.: 0574-88133818 Lender (Party B): China Construction Bank Ningbo Yinzhou Branch Domicile: No. 500 Taikang
June 18, 2025	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): June 12, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
June 12, 2025	EX-3.1	Certificate of Amendment of Amended and Restated Certificate of Incorporation of Applied Optoelectronics, Inc. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF APPLIED OPTOELECTRONICS, INC. Applied Optoelectronics, Inc. a Delaware corporation (the “Corporation”), hereby certifies that: 1. The first sentence of ARTICLE IV of the Amended and Restated Certificate of Incorporation of the Corporation (the “Certificate”) is hereby amended in its entirety to read as fol
June 12, 2025	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 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): June 12, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
June 12, 2025	EX-3.2	Restated Certificate of Incorporation (filed as Exhibit 3.2 to the Registrant's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 12, 2025). Exhibit 3.2 RESTATED CERTIFICATE OF INCORPORATION OF APPLIED OPTOELECTRONICS, INC. A Delaware corporation Applied Optoelectronics, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Applied Optoelectronics, Inc. The date of the filing of its original Certificate of Incorporation with
June 11, 2025	EX-10.1	Translation of the Land and Building Lease Agreement, dated June 7, 2025, between Prime World International Holdings Ltd., Taiwan Branch and San Ho Electric Machinery Industry Co., Ltd. Exhibit 10.1 Land and Building Lease Agreement Parties: Lessor: SAN HO ELECTRIC MACHINERY INDUSTRY CO., LTD. (hereinafter referred to as “Party A”) Lessee: Prime World International Holdings Ltd., Taiwan Branch (hereinafter referred to as “Party B”) This lease agreement (“Lease Agreement” or “Agreement”) is entered into by and between the parties for the lease of the land and building under the te
June 11, 2025	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): June 7, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R.
June 2, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.        ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.        ) Filed by the Registrant  x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
May 28, 2025	424B5	$100,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-283905 PROSPECTUS SUPPLEMENT (To Prospectus dated December 18, 2024) $100,000,000 Applied Optoelectronics, Inc. Common Stock We have entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. (“Raymond James”) and Needham & Company, LLC (“Needham”), or the sales agreement, relating to shares of our c
May 28, 2025	EX-FILING FEES	Calculation of Filing Fee Table (Form Type) APPLIED OPTOELECTRONICS, INC. (Exact Name of Registrant as Specified in Its Charter) Table 1: Newly Registered Securities EXHIBIT 107 Calculation of Filing Fee Table 424(b)(5) (Form Type) APPLIED OPTOELECTRONICS, INC.
May 28, 2025	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): May 28, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commiss
May 28, 2025	EX-1.1	Equity Distribution Agreement, dated May 28, 2025, among Applied Optoelectronics, Inc., Raymond James & Associates, Inc., and Needham & Company, LLC. Exhibit 1.1 Equity Distribution Agreement May 28, 2025 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Needham & Company, LLC 250 Park Avenue New York, New York 10177 Ladies and Gentlemen: APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Raymond James & Associates, Inc and Needham & Company, LL
May 21, 2025	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.R.S. Employer Identification No.) 13139 Jess Pirtle Blvd. Sugar Land, TX 77478 (Add
May 21, 2025	EX-1.01	Applied Optoelectronics, Inc.’s Conflict Minerals Report for the reporting period from January 1, 2024 to December 31, 2024. Exhibit 1.01 Applied Optoelectronics, Inc. Conflict Minerals Report For The Year Ended December 31, 2024 This report for the year ended December 31, 2024 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to confli
May 8, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0
May 8, 2025	EX-99.1	Applied Optoelectronics Reports First Quarter 2025 Results Exhibit 99.1 Applied Optoelectronics Reports First Quarter 2025 Results Sugar Land, Texas, May 8, 2025 – Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI”), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its first quarter ended March 31, 2025. “We’re please
May 8, 2025	8-K	Results of Operations and Financial Condition 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): May 8, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R.S
April 28, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ De
April 28, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule
April 25, 2025	EX-FILING FEES	Calculation of Filing Fee Table Form 424(b)(7) (Form Type) Applied Optoelectronics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Exhibit 107 Calculation of Filing Fee Table Form 424(b)(7) (Form Type) Applied Optoelectronics, Inc.
April 25, 2025	8-K	Current Report 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 25, 2025 APPLIED OPTOELECTRONICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commis
April 25, 2025	424B7	APPLIED OPTOELECTRONICS, INC. 7,945,399 Shares of Common Stock TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(7) Registration No. 333-283905 PROSPECTUS SUPPLEMENT (To Prospectus Dated December 18, 2024) APPLIED OPTOELECTRONICS, INC. 7,945,399 Shares of Common Stock This prospectus supplement relates to the offer and resale, from time to time, of up to 7,945,399 shares of our common stock, par value $0.001 per share (the “common stock”), that may be issuabl
April 18, 2025	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule
April 10, 2025	8-K	Submission of Matters to a Vote of Security Holders 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 10, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.
April 10, 2025	S-8	As filed with the Securities and Exchange Commission on April 10, 2025 As filed with the Securities and Exchange Commission on April 10, 2025 Registration No.
April 10, 2025	EX-99.1	Applied Optoelectronics, Inc. Amended and Restated 2021 Equity Incentive Plan. Exhibit 99.1 APPLIED OPTOELECTRONICS, INC. AMENDED AND RESTATED 2021 EQUITY INCENTIVE PLAN Originally adopted by the Board on June 3, 2021 Originally approved by the stockholders on June 3, 2021 As amended and restated effective as of June 2, 2022, June 8, 2023 and April 10, 2025 1. Purpose of the Plan. The Company has adopted the Amended and Restated 2021 Equity Incentive Plan to attract, retain
April 10, 2025	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) APPLIED OPTOELECTRONICS, INC.
April 9, 2025	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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 3, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R
April 9, 2025	EX-10.1	Lease, dated April 3, 2025, between Applied Optoelectronics, Inc. and Albany Road-Breck Exchange, LLC. Exhibit 10.1 LEASE THIS LEASE, dated as of the 3rd day of April 2025 (the “Effective Date”), is entered into by and between ALBANY ROAD-BRECK EXCHANGE LLC, a Delaware limited liability company (“Landlord”), and Applied Optoelectronics, Inc., a Delaware corporation (“Tenant”). 1.Premises. Landlord does hereby rent and lease to Tenant, and Tenant does hereby rent and hire from Landlord, the Premises
April 2, 2025	EX-3.1	Amendment No. 1 to the Amended and Restated Bylaws, as currently in effect (filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on April 2, 2025). Exhibit 3.1 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED BY-LAWS OF APPLIED OPTOELECTRONICS, INC. This Amendment No. 1 to the Amended and Restated By-laws (as currently in effect prior to Amendment No. 1, the “By-laws”) of Applied Optoelectronics, Inc., a Delaware corporation (the “Corporation”), is effective as of April 2, 2025. ARTICLE I, SECTION 5 of the By-laws entitled “Quorum” is hereby amend
April 2, 2025	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits 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 2, 2025 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number) (I.R
April 2, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def
March 13, 2025	EX-4.1	Warrant to Purchase Common Stock of Applied Optoelectronics, Inc. by and between Applied Optoelectronics, Inc. and Amazon.com NV Investment Holdings LLC, dated as of March 13, 2025 (included as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 13, 2025). Exhibit 4.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL AND HAS BEEN MARKED WITH “[***]” TO INDICATE WHERE OMISSIONS HAVE BEEN MADE. WARRANT TO PURCHASE COMMON STOCK THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURIT
March 13, 2025	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits 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): March 13, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.
March 13, 2025	EX-10.1	Transaction Agreement, by and between Applied Optoelectronics, Inc. and Amazon.com, Inc., dated as of March 13, 2025 Exhibit 10.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL AND HAS BEEN MARKED WITH “[***]” TO INDICATE WHERE OMISSIONS HAVE BEEN MADE. TRANSACTION AGREEMENT Dated as of March 13, 2025 by and between APPLIED OPTOELECTRONICS, INC. and AMAZON.COM, INC. TABLE
March 10, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 28, 2025	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): February 28, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
February 28, 2025	EX-19	Applied Optoelectronics, Inc. Insider Trading Policy and Guidelines Exhibit 19. APPLIED OPTOELECTRONICS, INC. INSIDER TRADING POLICY (Adopted as of February 19, 2024) I. TRADING IN COMPANY SECURITIES WHILE IN POSSESSION OF MATERIAL NONPUBLIC INFORMATION IS PROHIBITED The purchase or sale of securities by any person who possesses material nonpublic information is a violation of federal and state securities laws. Furthermore, it is important that the appearance, as
February 28, 2025	EX-FILING FEES	Calculation of Filing Fee Table (Form Type) APPLIED OPTOELECTRONICS, INC. (Exact Name of Registrant as Specified in Its Charter) Table 1: Newly Registered Securities EXHIBIT 107 Calculation of Filing Fee Table 424(b)(5) (Form Type) APPLIED OPTOELECTRONICS, INC.
February 28, 2025	424B5	$100,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-283905 PROSPECTUS SUPPLEMENT (To Prospectus dated December 18, 2024) $100,000,000 Applied Optoelectronics, Inc. Common Stock We have entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. (“Raymond James”), or the sales agreement, relating to shares of our common stock offered by this prospectus
February 28, 2025	EX-1.1	Equity Distribution Agreement, dated February 28, 2025, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 1.1 Equity Distribution Agreement February 28, 2025 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with RAYMOND JAMES & ASSOCIATES, INC. (“Raymond James” or “Agent”), as follows: 1.             Issuance and Sale of Share
February 28, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36
February 28, 2025	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 26, 2025	EX-99.1	Applied Optoelectronics Reports Fourth Quarter and Full Year 2024 Results Exhibit 99.1 Applied Optoelectronics Reports Fourth Quarter and Full Year 2024 Results Sugar Land, Texas, February 26, 2025 – Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI”), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its fourth quarter and full year
February 26, 2025	8-K	Results of Operations and Financial Condition 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): February 26, 2025 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number)
January 15, 2025	EX-24.2	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 Exhibit 2 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.
January 15, 2025	EX-99.1	JOINT FILING AGREEMENT Exhibit 3 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned Reporting Persons hereby agrees to the joint filing, along with all other such Reporting Persons, on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, Par value $0.
January 15, 2025	EX-24.1	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.
December 31, 2024	EX-10.1	Translation of the Construction Contract, dated December 26, 2024, between Prime World International Holdings Ltd., Taiwan Branch and Chyi Ding Technologies Co., Ltd. Exhibit 10.1 Construction Contract This Construction Contract (the "Contract") is made and entered into by and between Prime World International Holdings Ltd., Taiwan Branch (hereinafter referred to as "Party A") and Chyi Ding Technologies Co., Ltd. (hereinafter referred to as "Party B") for the purpose of establishing the terms and conditions for the contracted construction works. The Parties agr
December 31, 2024	8-K	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): December 26, 2024 Applied Optoele 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): December 26, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number)
December 23, 2024	EX-4.1	Indenture, dated as of December 23, 2024, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as Trustee Exhibit 4.1 Execution Version APPLIED OPTOELECTRONICS, INC., and COMPUTERSHARE TRUST COMPANY, N.A. as Trustee INDENTURE Dated as of December 23, 2024 2.750% Convertible Senior Notes due 2030 TABLE OF CONTENTS Page Article 1. Definitions; Rules of Construction 1 Section 1.01. Definitions 1 Section 1.02. Other Definitions 13 Section 1.03. Rules of Construction 13 Article 2. The Notes 14 Section 2.01
December 23, 2024	EX-4.3	First Supplemental Indenture, dated as of December 23, 2024, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as trustee (included as Exhibit 4.3 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on December 23, 2024). Exhibit 4.3 FIRST SUPPLEMENTAL INDENTURE THIS FIRST SUPPLEMENTAL INDENTURE, dated as of December 23, 2024 (this “Supplemental Indenture”), is between Applied Optoelectronics, Inc., a Delaware corporation, as issuer (the “Company”) and Computershare Trust Company, N.A., as trustee (the “Trustee”) under the Indenture, dated as of December 5, 2023 between the Company and Computershare Trust Company,
December 23, 2024	8-K	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): December 23, 2024 Applied Optoele 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): December 23, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
December 23, 2024	EX-99.1	Applied Optoelectronics Closes Exchange of 2026 Notes and Concurrent Registered Direct Offering Exhibit 99.1 Applied Optoelectronics Closes Exchange of 2026 Notes and Concurrent Registered Direct Offering SUGAR LAND, Texas, December 23, 2024— Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI,” “we,” “us” or “our”) announced today that it has closed its exchange with holders (the “Noteholders”) of its 5.25% Convertible Senior Notes due 2026 (the “2026 Notes”) of approximately $76.7 million p
December 20, 2024	EX-FILING FEES	Calculation of Filing Fee Table (Form Type) APPLIED OPTOELECTRONICS, INC. (Exact Name of Registrant as Specified in Its Charter) Table 1: Newly Registered Securities EXHIBIT 107 Calculation of Filing Fee Table 424(b)(5) (Form Type) APPLIED OPTOELECTRONICS, INC.
December 20, 2024	EX-99.2	Applied Optoelectronics Announces Entry into Exchange Transactions for 2026 Notes and Pricing of a Concurrent Registered Direct Offering Exhibit 99.2 Applied Optoelectronics Announces Entry into Exchange Transactions for 2026 Notes and Pricing of a Concurrent Registered Direct Offering SUGAR LAND, Texas, December 19, 2024— Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI,” “we,” “us” or “our”) announced today that it has entered into transactions with holders (the “Noteholders”) of its 5.25% Convertible Senior Notes due 2026 (the
December 20, 2024	EX-99.1	Applied Optoelectronics Announces Proposed Private Exchange Offer for 2026 Notes and Concurrent Registered Direct Offering Exhibit 99.1 Applied Optoelectronics Announces Proposed Private Exchange Offer for 2026 Notes and Concurrent Registered Direct Offering SUGAR LAND, Texas, December 18, 2024 — Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI,” “we,” “us” or “our”) expects to enter into transactions with holders of its 5.25% Convertible Senior Notes due 2026 (the “2026 Notes”) to exchange approximately $80 million
December 20, 2024	EX-1.1	Placement Agency Agreement, dated December 18, 2024, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 1.1 Applied Optoelectronics, Inc. 1,036,458 Shares of Common Stock, par value $0.001 per share PLACEMENT AGENCY AGREEMENT December 18, 2024 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, FL 33716 Dear Sir or Madam: Applied Optoelectronics, Inc., a Delaware corporation (the “Company”), proposes to issue and sell 1,036,458 shares (the “Shares”) of common stock, par val
December 20, 2024	424B5	1,036,458 Shares of Common Stock Applied Optoelectronics, Inc. TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-283905 PROSPECTUS SUPPLEMENT (To Prospectus dated December 18, 2024) 1,036,458 Shares of Common Stock Applied Optoelectronics, Inc. We are offering 1,036,458 shares of our common stock at a price of $33.97 per share to certain institutional accredited investors pursuant to this prospectus supplement and the accompanying pro
December 20, 2024	EX-10.1	Form of Exchange Agreement, between Applied Optoelectronics, Inc. and the Noteholders. Exhibit 10.1 Exchange Agreement December 18, 2024 Applied Optoelectronics, Inc. 2.750% Convertible Senior Notes due 2030 The undersigned investor (the “Investor”), for itself and on behalf of the beneficial owners listed on Exhibit A hereto (“Accounts”) for whom the Investor holds contractual and investment authority (each, including the Investor if it is a party exchanging Notes (as defined below
December 20, 2024	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events, Financial Statements and Exhibits 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): December 18, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
December 18, 2024	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables FORM S-3 APPLIED OPTOELECTRONICS, INC.
December 18, 2024	424B5	Subject to Completion, dated December 18, 2024 TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.
December 18, 2024	S-3ASR	As filed with the Securities and Exchange Commission on December 18, 2024 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 18, 2024 Registration No.
November 7, 2024	8-K	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): November 7, 2024 Applied Optoelec 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): November 7, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (
November 7, 2024	424B5	$55,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-269132 PROSPECTUS SUPPLEMENT (To Prospectus dated March 21, 2023) $55,000,000 Applied Optoelectronics, Inc. Common Stock We have entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. (“Raymond James”), or the sales agreement, relating to shares of our common stock offered by this prospectus supp
November 7, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe
November 7, 2024	EX-1.1	Equity Distribution Agreement, dated November 7, 2024, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc.   Exhibit 1.1   Equity Distribution Agreement   November 7, 2024   Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716   Ladies and Gentlemen:   APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with RAYMOND JAMES & ASSOCIATES, INC. (“Raymond James” or “Agent”), as follows:   1.            Issuance and S
November 7, 2024	EX-99.1	Applied Optoelectronics Reports Third Quarter 2024 Results Exhibit 99.1 Applied Optoelectronics Reports Third Quarter 2024 Results Sugar Land, Texas, November 7, 2024 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its third quarter ended September 30, 2024. “We had a so
November 7, 2024	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits 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): November 7, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Com
October 10, 2024	8-K	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): October 7, 2024 Applied Optoelect 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): October 7, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I
October 10, 2024	EX-10.1	Translation of the Land and Building Lease Agreement, dated October 7, 2024, between Prime World International Holdings Ltd., Taiwan Branch and San Ho Enterprise Co., Ltd. Exhibit 10.1 Land and Building Lease Agreement Parties to the Lease Agreement Lessor: SAN HO ENTERPRISE CO.,LTD (hereinafter referred to as "Party A") Lessee: Prime World International Holdings Ltd., Taiwan Branch (hereinafter referred to as "Party B") This lease agreement (“Lease Agreement” or “Agreement”) is entered into between the parties for the lease of the land and building under the terms
August 6, 2024	8-K	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): August 6, 2024 Applied Optoelectr 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): August 6, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commi
August 6, 2024	8-K	Results of Operations and Financial Condition 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): August 6, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.
August 6, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
August 6, 2024	EX-1.1	Amendment No. 1 to Equity Distribution Agreement, dated August 6, 2024, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 1.1 APPLIED OPTOELECTRONICS, INC. AMENDMENT NO. 1 TO EQUITY DISTRIBUTION AGREEMENT August 6, 2024 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Reference is made to the Equity Distribution Agreement, dated March 13, 2024 (the “Sales Agreement”), by and between Applied Optoelectronics, Inc. a Delaware Corporation (the “Company”), a
August 6, 2024	EX-99.1	Applied Optoelectronics Reports Second Quarter 2024 Results Exhibit 99.1 Applied Optoelectronics Reports Second Quarter 2024 Results Sugar Land, Texas, August 6, 2024 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its second quarter ended June 30, 2024. “Our revenue for
August 6, 2024	424B5	$60,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-269132 AMENDMENT NO. 1 DATED August 6, 2024 TO PROSPECTUS SUPPLEMENT dated March 13, 2024 (To Prospectus dated March 21, 2023) $60,000,000 Applied Optoelectronics, Inc. Common Stock This Amendment No. 1 to prospectus supplement, or this amendment, amends our prospectus supplement dated March 13, 2024. This amendment should b
June 10, 2024	SC 13G/A	AAOI / Applied Optoelectronics, Inc. / DRIEHAUS CAPITAL MANAGEMENT LLC Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 1 )* Applied Optoelectronics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03823U102 (CUSIP Number) May 31, 2024 (Date of Event Which Req
June 7, 2024	8-K	Submission of Matters to a Vote of Security Holders 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): June 6, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R.
May 30, 2024	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): May 24, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R.
May 30, 2024	EX-10.2	Translation of the Maximum Mortgage Contract (Security Agreement), dated May 24, 2024, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. Exhibit 10.2 Maximum Mortgage Contract Contract Version No.: SPDB202112 1 Maximum Mortgage Contract Mortgagee: Shanghai Pudong Development Bank Co., Ltd. Ningbo Branch Mortgagor: Global Technology, Inc. WHEREAS, In order to ensure the debtor's full and timely performance of its obligations under the Principal Contract, and guarantee the realization of the creditor's rights of the creditor ("Mortga
May 30, 2024	EX-10.1	Translation of the Financing Credit Line Agreement, dated May 24, 2024, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. Exhibit 10.1 Financing Credit Line Agreement Contract Version No.: SPDB202401 1 Financing Credit Line Agreement Company: Global Technology, Inc. (hereinafter referred to as "the Client") Principal Business Address: No.88,Qiushi Rd., Wangchun Industrial Park, Ningbo, China Contact Person: Haiying Lee Tel.: 13755236244 Fax:/ Email:/ Bank: Shanghai Pudong Development Bank Co., Ltd. Ningbo Branch (her
May 23, 2024	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.R.S. Employer Identification No.) 13139 Jess Pirtle Blvd. Sugar Land, TX 77478 (Add
May 23, 2024	EX-1.01	Applied Optoelectronics, Inc.’s Conflict Minerals Report for the reporting period from January 1, 2023 to December 31, 2023. Exhibit 1.01 Applied Optoelectronics, Inc. Conflict Minerals Report For The Year Ended December 31, 2023 This report for the year ended December 31, 2023 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to confli
May 9, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0
May 9, 2024	EX-99.1	Applied Optoelectronics Reports First Quarter 2024 Results Exhibit 99.1 Applied Optoelectronics Reports First Quarter 2024 Results Sugar Land, Texas, May 9, 2024 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its first quarter ended March 31, 2024. “Our first quarter re
May 9, 2024	8-K	Results of Operations and Financial Condition 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): May 9, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number) (I.R.S
May 6, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin
April 26, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 26, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin
March 13, 2024	EX-1.1	Equity Distribution Agreement, dated March 13, 2024, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 1.1 Equity Distribution Agreement March 13, 2024 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with RAYMOND JAMES & ASSOCIATES, INC. (“Raymond James” or “Agent”), as follows: 1.             Issuance and Sale of Shares.
March 13, 2024	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): March 13, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commi
March 13, 2024	424B5	$25,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-269132 PROSPECTUS SUPPLEMENT (To Prospectus dated March 21, 2023) $25,000,000 Applied Optoelectronics, Inc. Common Stock We have entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. (“Raymond James”), or the sales agreement, relating to shares of our common stock offered by this prospectus supp
February 23, 2024	EX-97	Compensation Recovery Policy Exhibit 97 APPLIED OPTOELECTRONICS, INC. Incentive Compensation Recovery Policy 1. Purpose The purpose of the Applied Optoelectronics, Inc. Incentive Compensation Recovery Policy (this “Policy”) is to provide for the recovery of certain Incentive-Based Compensation in the event of an Accounting Restatement. This Policy is intended to comply with, and to be administered and interpreted consistent w
February 23, 2024	8-K/A	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number
February 23, 2024	EX-99.1	Applied Optoelectronics Reports Fourth Quarter and Full Year 2023 Results Exhibit 99.1 Applied Optoelectronics Reports Fourth Quarter and Full Year 2023 Results Sugar Land, Texas, February 22, 2024 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its fourth quarter and full year ended D
February 23, 2024	EX-4.7	Exhibit 4.7 Exhibit 4.7 DESCRIPTION OF THE COMPANY’S COMMON STOCK REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT OF 1934 The following description of the Company’s Common Stock is based upon the Company’s Amended and Restated Certificate of Incorporation (“Restated Certificate of Incorporation”), the Company’s Amended and Restated Bylaws (“Bylaws”) and applicable provisions of law. We have summarized certain
February 23, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36
February 22, 2024	8-K	Results of Operations and Financial Condition 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): February 22, 2024 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number)
February 22, 2024	EX-99.1	Applied Optoelectronics Reports Fourth Quarter and Full Year 2023 Results Exhibit 99.1 Applied Optoelectronics Reports Fourth Quarter and Full Year 2023 Results Sugar Land, Texas, February 22, 2024 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its fourth quarter and full year ended D
February 14, 2024	SC 13G/A	AAOI / Applied Optoelectronics, Inc. / CITADEL ADVISORS LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. 5)* Applied Optoelectronics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (the “Shares”) (Title of Class of Securities) 03823
February 14, 2024	SC 13G	AAOI / Applied Optoelectronics, Inc. / DRIEHAUS CAPITAL MANAGEMENT LLC Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. )* Applied Optoelectronics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03823U102 (CUSIP Number) December 31, 2023 (Date of Event Which
December 27, 2023	EX-10.2	Translation of the Pledge Contract, between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated December 21, 2023 Exhibit 10.2 Asset Pool Pledge Contract (33100000) Z.S.Z.C.C.Z.Z. (2023) No. 22337 Party A (Pledgee): China Zheshang Bank Co., Ltd. Ningbo Branch Party B (Pledgor): GLOBAL Technology Inc. WHEREAS, Party A and Party B carry out the Asset Pool Financing (as defined below) business in accordance with the Asset Pool Business Cooperation Agreement (No.: see Article 15.1). If the group to which Party B
December 27, 2023	8-K	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): December 21, 2023 Applied Optoele 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): December 21, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of incorporation) (Commission File Number)
December 27, 2023	EX-10.1	Translation of the Asset Pool Agreement, between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated December 21, 2023 Exhibit 10.1 Asset Pool Business Cooperation Agreement （Applicable to a Single Customer Asset Pool） (33100000) Z.S.Z.C.C.Z. (2023) No. 22336 Party A: China Zheshang Bank Co., Ltd. Ningbo Branch Party B: GLOBAL Technology Inc. By mutual agreement, Party A provides Asset Pool business services to Party B. In order to clarify the rights and obligations of both parties, this Contract is hereby establi
December 5, 2023	EX-4.3	First Supplemental Indenture, dated as of December 5, 2023, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as trustee (included as Exhibit 4.3 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on December 5, 2023). Exhibit 4.3 FIRST SUPPLEMENTAL INDENTURE THIS FIRST SUPPLEMENTAL INDENTURE, dated as of December 5, 2023 (this “Supplemental Indenture”), is between Applied Optoelectronics, Inc., a Delaware corporation, as issuer (the “Company”) and Computershare Trust Company, N.A. (as successor to Wells Fargo Bank, National Association), as trustee (the “Trustee”) under the Indenture, dated as of March 5, 2019,
December 5, 2023	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): November 30, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
December 5, 2023	EX-4.1	Indenture, dated as of December 5, 2023 between Applied Optoelectronics, Inc. and Computershare Trust Company, as trustee (filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on December 5, 2023). Exhibit 4.1 APPLIED OPTOELECTRONICS, INC., and COMPUTERSHARE TRUST COMPANY, N.A. as Trustee INDENTURE Dated as of December 5, 2023 5.250% Convertible Senior Notes due 2026 TABLE OF CONTENTS Page Article 1. Definitions; Rules of Construction 1 Section 1.01. Definitions 1 Section 1.02. Other Definitions 23 Section 1.03. Rules of Construction 24 Article 2. The Notes 25 Section 2.01. Form, Dating and
December 5, 2023	EX-10.1	Purchase Agreement, dated as of November 30, 2023, by and between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 10.1 Applied Optoelectronics, Inc. $80,214,000 5.250% Convertible Senior Notes due 2026 PURCHASE AGREEMENT November 30, 2023 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, FL 33716 Ladies and Gentlemen: Applied Optoelectronics, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement with you (the “Initial Purchaser”), as set forth below. 1. The Tr
December 1, 2023	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits 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): November 30, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
December 1, 2023	EX-99.1	Applied Optoelectronics Announces Proposed Private Offering of $80 Million of Convertible Senior Notes due 2026 Exhibit 99.1 Applied Optoelectronics Announces Proposed Private Offering of $80 Million of Convertible Senior Notes due 2026 SUGAR LAND, Texas, November 30, 2023 — Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI”) announced today that it intends to offer to sell, subject to market and other conditions, $80 million aggregate principal amount of Convertible Senior Notes due 2026 (the “Notes”) in
December 1, 2023	EX-10.1	Form of Exchange Agreement, dated as of November 30, 2023, between Applied Optoelectronics, Inc. and the applicable Noteholders Exhibit 10.1 Exchange Agreement November 30, 2023 Applied Optoelectronics, Inc. 5.00% Convertible Senior Notes due 2024 The undersigned investor (the “Investor”), for itself and on behalf of the beneficial owners listed on Exhibit A hereto (“Accounts”) for whom the Investor holds contractual and investment authority (each, including the Investor if it is a party exchanging Notes (as defined below)
December 1, 2023	EX-99.2	Applied Optoelectronics Announces Pricing of $80.2 Million of Convertible Senior Notes due 2026 Exhibit 99.2 Applied Optoelectronics Announces Pricing of $80.2 Million of Convertible Senior Notes due 2026 SUGAR LAND, Texas, December 1, 2023— Applied Optoelectronics, Inc. (NASDAQ: AAOI) (“AOI”) announced today that it has priced its private offering of $80.2 million aggregate principal amount of 5.25% Convertible Senior Notes due 2026 (the “Notes”) in an offering exempt from the registration
November 28, 2023	8-K	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): November 27, 2023 Applied Optoele 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): November 27, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
November 9, 2023	EX-99.1	Applied Optoelectronics Reports Third Quarter 2023 Results Exhibit 99.1 Applied Optoelectronics Reports Third Quarter 2023 Results Sugar Land, Texas, November 9, 2023 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the cable broadband, internet datacenter, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its third quarter 2023 ended September 30, 2023. “We’re
November 9, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe
November 9, 2023	EX-10.1	Applied Optoelectronic, Inc. 2023 Equity Incentive Plan Exhibit 10.1 APPLIED OPTOELECTRONICS, INC. 2023 EQUITY INDUCEMENT PLAN 1. Purpose of the Plan. The Company has adopted the 2023 Equity Inducement Plan to attract, retain and motivate new employees of the Company and its Related Companies by providing them the opportunity to acquire an equity interest in the Company and align their interests and efforts with the long-term interests of the Company’s
November 9, 2023	8-K	Results of Operations and Financial Condition 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): November 9, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Com
September 13, 2023	EX-1.1	Amendment No. 1 to Equity Distribution Agreement, dated September 12, 2023, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 1.1 APPLIED OPTOELECTRONICS, INC. AMENDMENT NO. 1 TO EQUITY DISTRIBUTION AGREEMENT September 12, 2023 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Reference is made to the Equity Distribution Agreement, dated March 24, 2023 (the “Sales Agreement”), by and between Applied Optoelectronics, Inc. a Delaware Corporation (the “Company”
September 13, 2023	8-K	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): September 12, 2023 Applied Optoel 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): September 12, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (C
September 13, 2023	424B5	$70,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-269132 AMENDMENT NO. 2 DATED September 12, 2023 TO PROSPECTUS SUPPLEMENT dated March 24, 2023 (To Prospectus dated March 21, 2023) $70,000,000 Applied Optoelectronics, Inc. Common Stock This Amendment No. 2 to prospectus supplement, or this amendment, amends our prospectus supplement dated March 24, 2023, as amended by Amend
September 12, 2023	8-K	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): September 12, 2023 Applied Optoel 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): September 12, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (C
September 7, 2023	8-K	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): September 7, 2023 Applied Optoele 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): September 7, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
September 7, 2023	EX-3.1	filed with the Securities and Exchange Commission on Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF APPLIED OPTOELECTRONICS, INC. Applied Optoelectronics, Inc. (hereinafter called the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify as follows: 1. The name of the Corporation is “Applied Optoelectronic
August 17, 2023	8-K	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): August 16, 2023 Applied Optoelect 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): August 16, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Comm
August 8, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def
August 3, 2023	424B5	$35,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-269132 AMENDMENT NO. 1 DATED August 3, 2023 TO PROSPECTUS SUPPLEMENT dated March 24, 2023 (To Prospectus dated March 21, 2023) $35,000,000 Applied Optoelectronics, Inc. Common Stock This Amendment No. 1 to Prospectus Supplement, or this amendment, amends our prospectus supplement dated March 24, 2023, or the prospectus suppl
August 3, 2023	EX-99.1	Applied Optoelectronics, Inc. 2023 Equity Inducement Plan. Exhibit 99.1 APPLIED OPTOELECTRONICS, INC. 2023 EQUITY INDUCEMENT PLAN 1. Purpose of the Plan. The Company has adopted the 2023 Equity Inducement Plan to attract, retain and motivate new employees of the Company and its Related Companies by providing them the opportunity to acquire an equity interest in the Company and align their interests and efforts with the long-term interests of the Company’s
August 3, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) APPLIED OPTOELECTRONICS, INC.
August 3, 2023	EX-99.1	Applied Optoelectronics Reports Second Quarter 2023 Results Exhibit 99.1 Applied Optoelectronics Reports Second Quarter 2023 Results Sugar Land, Texas, August 3, 2023 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the cable broadband, internet datacenter, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its second quarter 2023 ended June 30, 2023. “Our second
August 3, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
August 3, 2023	8-K	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): August 3, 2023 Applied Optoelectr 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): August 3, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commi
August 3, 2023	S-8	As filed with the Securities and Exchange Commission on August 3, 2023 As filed with the Securities and Exchange Commission on August 3, 2023 Registration No.
July 28, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule
July 28, 2023	EX-99.1	Applied Optoelectronics Announces Equity Grants To Employees Under Inducement Plan Exhibit 99.1 Applied Optoelectronics Announces Equity Grants To Employees Under Inducement Plan July 28, 2023 SUGAR LAND, Texas, July 28, 2023 (GLOBE NEWSWIRE) - Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the cable broadband, internet datacenter, telecom and fiber-to-the-home (FTTH) markets, today announced that that the Compensation
July 28, 2023	8-K	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): July 28, 2023 Applied Optoelectro 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): July 28, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commis
July 28, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def
July 18, 2023	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule
June 26, 2023	S-8	As filed with the Securities and Exchange Commission on June 26, 2023 As filed with the Securities and Exchange Commission on June 26, 2023 Registration No.
June 26, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) APPLIED OPTOELECTRONICS, INC.
June 21, 2023	8-K	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): June 21, 2023 Applied Optoelectro 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): June 21, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commis
June 21, 2023	EX-10.1	Statement of Work No. 2 – Design and Assembly, between Applied Optoelectronics, Inc. and Microsoft Corporation, effective June 21, 2023 Exhibit 10.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND IS THE TYPE OF INFORMATION THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS AS PRIVATE AND CONFIDENTIAL. REDACTED INFORMATION IS INDICATED BY [**]. Statement of Work #2 – Design and Assembly This Statement of Work #2 (“SOW”), effective as of the date of the last signature, is between Micr
June 14, 2023	EX-10.1	Third Amendment to Lease, dated June 9, 2023, between Applied Optoelectronics, Inc. and Albany Road-Breck Exchange LLC Exhibit 10.1 THIRD AMENDMENT TO LEASE THIS THIRD AMENDMENT TO LEASE (this “Third Amendment”) is entered into as of the 9th day of June, 2023 (the “Effective Date”) by and between Albany Road-Breck Exchange LLC, a Delaware limited liability company (“Lessor”), and APPLIED OPTOELECTRONICS, INC., a Delaware corporation (“Lessee”). RECITALS A. Lessor, as successor-in-interest to ROIB2 Breckinridge, LL
June 14, 2023	8-K	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): June 9, 2023 Applied Optoelectron 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): June 9, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commiss
June 12, 2023	EX-10.1	Applied Optoelectronics, Inc. 2021 Equity Incentive Plan. Exhibit 10.1 APPLIED OPTOELECTRONICS, INC. 2021 EQUITY INCENTIVE PLAN 1. Purpose of the Plan. The Company has adopted the 2021 Equity Incentive Plan to attract, retain and motivate individual service providers to the Company and its Related Companies by providing them the opportunity to acquire an equity interest in the Company and align their interests and efforts with the long-term interests of
June 12, 2023	8-K	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): June 8, 2023 Applied Optoelectron 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): June 8, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commiss
May 24, 2023	EX-1.01	Applied Optoelectronics, Inc.’s Conflict Minerals Report for the reporting period from January 1, 2022 to December 31, 2022. Exhibit 1.01 Applied Optoelectronics, Inc. Conflict Minerals Report For The Year Ended December 31, 2022 This report for the year ended December 31, 2022 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to confli
May 24, 2023	8-K	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): May 22, 2023 Applied Optoelectron 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): May 22, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commiss
May 24, 2023	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.R.S. Employer Identification No.) 13139 Jess Pirtle Blvd. Sugar Land, TX 77478 (Add
May 24, 2023	EX-99.1	AOI Appoints Todd McCrum to Newly Created Role of Senior Vice President and General Manager of Broadband Access Exhibit 99.1 AOI Appoints Todd McCrum to Newly Created Role of Senior Vice President and General Manager of Broadband Access McCrum previously served 27 years with Scientific-Atlanta and Cisco Systems, including serving as lead of Cisco’s Cable Access Business Unit and Vice President of Marketing SUGAR LAND, TX, May 22, 2023 – Applied Optoelectronics, Inc. (Nasdaq: AAOI), a leading provider of fib
May 12, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def
May 4, 2023	8-K	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): May 4, 2023 Applied Optoelectroni 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): May 4, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commissi
May 4, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0
May 4, 2023	EX-99.1	Applied Optoelectronics Reports First Quarter 2023 Results Exhibit 99.1 Applied Optoelectronics Reports First Quarter 2023 Results Sugar Land, Texas, May 4, 2023 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the cable broadband, internet datacenter, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its first quarter 2023 ended March 31, 2023. “We continued to
May 3, 2023	8-K	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): December 16, 2022 Applied Optoele 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): December 16, 2022 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Co
May 3, 2023	EX-10.1	Statement of Work No. 1 – Foundry between Applied Optoelectronics, Inc. and Microsoft Corporation, effective December 16, 2022 Exhibit 10.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND IS THE TYPE OF INFORMATION THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS AS PRIVATE AND CONFIDENTIAL. REDACTED INFORMATION IS INDICATED BY [**]. Statement of Work #1 – Foundry This Statement of Work #1 (“SOW”), effective as of the date of the last signature (“Effective Date”), is betwe
April 28, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 28, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def
April 18, 2023	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 24, 2023	8-K	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): March 24, 2023 Applied Optoelectr 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): March 24, 2023 Applied Optoelectronics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or other jurisdiction of incorporation) (Commi
March 24, 2023	EX-1.1	Equity Distribution Agreement, dated March 24, 2023, between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. Exhibit 1.1 Equity Distribution Agreement March 24, 2023 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: APPLIED OPTOELECTRONICS, INC., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with RAYMOND JAMES & ASSOCIATES, INC. (“Raymond James” or “Agent”), as follows: 1. Issuance and Sale of Shares. The Company
March 24, 2023	424B5	$35,000,000 Applied Optoelectronics, Inc. Common Stock TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-269132 PROSPECTUS SUPPLEMENT (To Prospectus dated March 21, 2023) $35,000,000 Applied Optoelectronics, Inc. Common Stock We have entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. (“Raymond James”), or the sales agreement, relating to shares of our common stock offered by this prospectus supp
March 17, 2023	CORRESP	March 17, 2023 March 17, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.
March 13, 2023	S-3/A	As filed with the Securities and Exchange Commission on March 13, 2023 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 13, 2023 Registration No.
March 10, 2023	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-
February 27, 2023	10-K	Power of Attorney (see the signature page in the Original Filing). Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36
February 23, 2023	EX-99.1	Applied Optoelectronics Reports Fourth Quarter and Full Year 2022 Results Exhibit 99.1 Applied Optoelectronics Reports Fourth Quarter and Full Year 2022 Results Sugar Land, Texas, February 23, 2023 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the cable broadband, internet datacenter, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its fourth quarter and full year ended D
February 23, 2023	8-K	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): February 23, 2023 Applied Optoel 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): February 23, 2023 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
February 21, 2023	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables FORM S-3 APPLIED OPTOELECTRONICS, INC.
February 21, 2023	S-3/A	As filed with the Securities and Exchange Commission on February 21, 2023 As filed with the Securities and Exchange Commission on February 21, 2023 Registration No.
February 14, 2023	EX-99.2	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 EX-99.2 3 tm235349d33ex2.htm EXHIBIT 2 Exhibit 2 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E. Shaw, hereby make, constitute, and appoint each of: Edward Fishman, Julius Gaudio, Martin Lebwohl, Maximilian Stone, David Sweet, Nathan Thomas, and Eric Wepsic, acting individually,
February 14, 2023	EX-99.3	JOINT FILING AGREEMENT EX-99.3 4 tm235349d33ex3.htm EXHIBIT 3 Exhibit 3 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned Reporting Persons hereby agrees to the joint filing, along with all other such Reporting Persons, on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common
February 14, 2023	SC 13G/A	AAOI / Applied Optoelectronics Inc / D. E. SHAW & CO, L.P. - SC 13G/A Passive Investment SC 13G/A 1 tm235349d33sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2) Under the Securities Exchange Act of 1934 Applied Optoelectronics, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 03823U102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the following
February 14, 2023	EX-99.1	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 EX-99.1 2 tm235349d33ex1.htm EXHIBIT 1 ` Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E. Shaw, hereby make, constitute, and appoint each of: Edward Fishman, Julius Gaudio, Martin Lebwohl, Maximilian Stone, David Sweet, Nathan Thomas, and Eric Wepsic, acting individuall
February 14, 2023	SC 13G/A	AAOI / Applied Optoelectronics Inc / CITADEL ADVISORS LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. 4)* Applied Optoelectronics, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (the “Shares”) (Title of Class of Securities) 03823
January 5, 2023	S-3	As filed with the Securities and Exchange Commission on January 5, 2023 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 5, 2023 Registration No.
January 5, 2023	EX-FILING FEES	Filing Fee Table. EX-FILING FEES 4 tm2233059d2ex-filingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables FORM S-3 APPLIED OPTOELECTRONICS, INC. Table 1: Newly Registered Securities and Carried Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price Fee Rate Amount of
November 21, 2022	EX-10.1	Loan Security and Guarantee Agreement, dated November 16, 2022, between Applied Optoelectronics, Inc. and CIT Northbridge Credit, LLC. Exhibit 10.1 Execution Version LOAN, SECURITY AND GUARANTEE AGREEMENT Dated as of November 16, 2022 APPLIED OPTOELECTRONICS, INC., and CERTAIN OTHER PERSONS FROM TIME TO TIME DESIGNATED AS A BORROWER HEREUNDER, as Borrowers, CERTAIN OTHER PERSONS FROM TIME TO TIME DESIGNATED AS A GUARANTOR HEREUNDER, as Guarantors, CERTAIN FINANCIAL INSTITUTIONS, as Lenders, CIT NORTHBRIDGE CREDIT LLC, as Agent, a
November 21, 2022	8-K	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): November 16, 2022 Applied Optoel 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): November 16, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
November 3, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 3, 2022	8-K	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): November 3, 2022 Applied Optoele 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): November 3, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
November 3, 2022	EX-99.1	Applied Optoelectronics Reports Third Quarter 2022 Results Exhibit 99.1 Applied Optoelectronics Reports Third Quarter 2022 Results Sugar Land, Texas, November 3, 2022 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its third quarter 2022 ended September 30, 2022. “While
September 15, 2022	EX-10.1	Form of Trademark License Agreement, by and among Applied Optoelectronics, Inc., and Global Technology Co., Ltd., and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. Exhibit 10.1 PROJECT RADIANCE APPLIED OPTOELECTRONICS INC. (as Licensor) AND GLOBAL TECHNOLOGY CO., LTD. YUHAN OPTOELECTRONIC TECHNOLOGY (SHANGHAI) CO., LTD. (???????(??)????) TRADEMARK LICENSE AGREEMENT CONTENTS Clause Page 1. INTERPRETATION 1 2. TERM 3 3. GRANT OF LICENSE 3 4. CONSIDERATION 4 5. QUALITY STANDARDS 5 6. LICENSED MARKS 6 7. INFRINGEMENT 6 8. INDEMNIFICATION 7 9. TERMINATION 7 10. E
September 15, 2022	EX-99.1	Applied Optoelectronics Announces Definitive Agreement to Sell its Chinese Manufacturing Facilities and Certain Assets Related to its Transceiver Business for $150 Million Positions the Company to Focus on Higher Margin and Higher Growth Opportunitie Exhibit 99.1 Applied Optoelectronics Announces Definitive Agreement to Sell its Chinese Manufacturing Facilities and Certain Assets Related to its Transceiver Business for $150 Million Positions the Company to Focus on Higher Margin and Higher Growth Opportunities Transaction is Expected to Close in 2023 Company to Host Conference Call and Webcast at 5 p.m. ET Today Sugar Land, TX, September 15, 2
September 15, 2022	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): September 15, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
September 15, 2022	EX-10.3	Form of Product Supply Agreement, by and between Applied Optoelectronics, Inc. and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. Exhibit 10.3 PROJECT RADIANCE APPLIED OPTOELECTRONICS, INC. AND Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. (???????(??)????) PRODUCT SUPPLY AGREEMENT * Certain information has been excluded from this exhibit because it is both immaterial and competitively harmful if publicly disclosed. Where applicable, omissions have been marked ?[***]?. CONTENTS Clause Page 1. INTERPRETATION 1 2. SUPPL
September 15, 2022	EX-2.1	Agreement for the Sale and Purchase of a New Company to Be Established in Hong Kong Special Administrative Region of The People’s Republic of China, dated as of September 15, 2022, by and between Prime World International Holdings Ltd., Applied Optoelectronics, Inc. and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. (filed as Exhibit 2.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 15, 2022). Exhibit 2.1 PROJECT RADIANCE PRIME WORLD INTERNATIONAL HOLDINGS LTD. AND APPLIED OPTOELECTRONICS INC. AND YUHAN OPTOELECTRONIC TECHNOLOGY (SHANGHAI) CO., LTD. (???????(??)????) AGREEMENT FOR THE SALE AND PURCHASE OF A NEW COMPANY TO BE ESTABLISHED IN HONG KONG SPECIAL ADMINISTRATIVE REGION OF THE PEOPLE?S REPUBLIC OF CHINA * Certain information has been excluded from this exhibit because it is bot
September 15, 2022	EX-10.4	Form of Contract Manufacturing Agreement, by and among Applied Optoelectronics, Inc., Global Technology Co., Ltd., and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. Exhibit 10.4 Contract Manufacturing Agreement This Contract Manufacturing Agreement (this ?Agreement?), effective as of (the ?Effective Date?), is made and entered into by and between (1) Applied Optoelectronics, Inc., a Delaware corporation having a place of business at 13139 Jess Pirtle Blvd., Sugar Land, Texas 77478, www.ao-inc.com (?AOI?) and (2) Global Technology Co., Ltd. (????????????), a c
September 15, 2022	EX-10.2	Form of Technology Cross-License Agreement, by and among Applied Optoelectronics, Inc., Global Technology Co., Ltd., and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. Exhibit 10.2 PROJECT RADIANCE APPLIED OPTOELECTRONICS INC. AND GLOBAL TECHNOLOGY CO., LTD YUHAN OPTOELECTRONIC TECHNOLOGY (SHANGHAI) CO., LTD. (???????(??)????). TECHNOLOGY CROSS LICENSE AGREEMENT CONTENTS Clause Page 1. INTERPRETATION 2 2. TERM 5 3. GRANT OF LICENSE 6 4. CONSIDERATION 10 5. CHALLENGES TO LICENSED PATENTS 10 6. DILIGENCE AND COMMERCIALIZATION 10 7. QUALITY AND INSURANCE 10 8. CONF
August 4, 2022	EX-99.1	Applied Optoelectronics Reports Second Quarter 2022 Results Exhibit 99.1 Applied Optoelectronics Reports Second Quarter 2022 Results Sugar Land, Texas, August 4, 2022 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its second quarter 2022 ended June 30, 2022. “Our second
August 4, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 4, 2022	8-K	Results of Operations and Financial Condition 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): August 4, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number) (I
June 17, 2022	S-8	As filed with the Securities and Exchange Commission on June 17, 2022 As filed with the Securities and Exchange Commission on June 17, 2022 Registration No.
June 17, 2022	EX-FILING FEES	Filing Fee Table EX-FILING FEES 4 tm2218728d1ex-filingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) APPLIED OPTOELECTRONICS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price
June 10, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): June 7, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number) (I.R
June 10, 2022	EX-10.2	Translation of the Maximum Mortgage Contract, between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated June 7, 2022. Exhibit 10.2 Maximum Mortgage Contract (332078) Z.S.Y.G.D.Z. ?2022? No. 00014 Mortgagee (Full Name): China Zheshang Bank Co., Ltd. Ningbo Branch Debtor (Full Name): Global Technology Inc. Mortgagor (Full Name): Global Technology Inc. WHEREAS, the Debtor and the Mortgagee will enter into a series of contracts on creditor's rights and debts (hereinafter referred to as the "Master Contract") accordin
June 10, 2022	EX-10.1	Translation of the Maximum Loan Contract between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated June 7, 2022. Exhibit 10.1 Maximum Loan Contract Borrower: Global Technology Inc. (hereinafter referred to as "Party A") Lender: China Zheshang Bank Co., Ltd. Ningbo Branch (hereinafter referred to as "Party B") Mortgagor (Pledger) I: Global Technology Inc. Mortgagor (Pledger) II: Mortgagor (Pledger) III: (hereinafter referred to collectively as "Party C") WHEREAS, subject to Party A's application to Party C fo
June 3, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 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): June 2, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number) (I.R
June 3, 2022	EX-10.1	Applied Optoelectronics, Inc. 2021 Equity Incentive Plan, as amended (incorporated by reference from Exhibit 10.1 to the Registrant's Form 8-K filed on June 3, 2022) Exhibit 10.1 APPLIED OPTOELECTRONICS, INC. 2021 EQUITY INCENTIVE PLAN 1.?Purpose of the Plan.?The Company has adopted the 2021 Equity Incentive Plan to attract, retain and motivate individual service providers to the Company and its Related Companies by providing them the opportunity to acquire an equity interest in the Company and align their interests and efforts with the long-term interests of
May 25, 2022	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM SD Specialized Disclosure Report Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.R.S. Employer Identification No.) 13139 Jess Pirtle Blvd. Sugar Land, TX 77478 (Add
May 25, 2022	EX-1.01	Applied Optoelectronics, Inc.’s Conflict Minerals Report for the reporting period from January 1, 2021 to December 31, 2021. Exhibit 1.01 Applied Optoelectronics, Inc. Conflict Minerals Report For The Year Ended December 31, 2021 This report for the year ended December 31, 2021 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the ?Rule?). The Rule was adopted by the Securities and Exchange Commission (?SEC?) to implement reporting and disclosure requirements related to confli
May 5, 2022	8-K	Results of Operations and Financial Condition 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): May 5, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number) (I.R.
May 5, 2022	EX-99.1	Applied Optoelectronics Reports First Quarter 2022 Results Selected as a supplier of 400G products by a major hyperscale datacenter customer Exhibit 99.1 Applied Optoelectronics Reports First Quarter 2022 Results Selected as a supplier of 400G products by a major hyperscale datacenter customer Sugar Land, Texas, May 5, 2022 – Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced f
May 5, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 22, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ??) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rul
April 22, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ??) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Def
February 24, 2022	8-K	Results of Operations and Financial Condition 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): February 24, 2022 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
February 24, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36
February 24, 2022	EX-99.1	Applied Optoelectronics Reports Fourth Quarter and Full Year 2021 Results Exhibit 99.1 Applied Optoelectronics Reports Fourth Quarter and Full Year 2021 Results Sugar Land, Texas, February 24, 2022 ? Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its fourth quarter and full year ended D
February 14, 2022	EX-99.1	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.
February 14, 2022	SC 13G/A	AAOI / Applied Optoelectronics Inc / D. E. SHAW & CO, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1) Under the Securities Exchange Act of 1934 Applied Optoelectronics, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 03823U102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to whi
February 14, 2022	EX-99.3	JOINT FILING AGREEMENT Exhibit 3 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned Reporting Persons hereby agrees to the joint filing, along with all other such Reporting Persons, on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, $0.
February 14, 2022	SC 13G/A	AAOI / Applied Optoelectronics Inc / CITADEL ADVISORS LLC - APPLIED OPTOELECTRONICS, INC. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2 (Amendment No. 3)* Applied Optoelectronics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (the ?Shares?) (Title of Class of Securities) 03823
February 14, 2022	EX-99.2	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 Exhibit 2 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.
February 9, 2022	SC 13G/A	AAOI / Applied Optoelectronics Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Applied Optoelectronics Inc. Title of Class of Securities: Common Stock CUSIP Number: 03823U102 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is
January 5, 2022	EX-10.2	Note Modification Agreement, dated December 29, 2021, between Applied Optoelectronics, Inc. and Truist Bank. Exhibit 10.2 MAKER: Applied Optoelectronics, Inc. NOTE MODIFICATION AGREEMENT xxxxxxxxxx ADDRESS: 13139 Jess Pirtle Blvd Account Number Sugar Land, Texas 00001 77478 Note Number $20,000,000.00 $60,000,000.00 September 28, 2017 December 29, 2021 Modified Principal Amount Original Principal Amount Original Date Modification Date This Note Modification Agreement (hereinafter referred to as ?Agreement
January 5, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): December 29, 2021 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
January 5, 2022	EX-10.1	Sixth Amendment to Loan Agreement and Fifth Amendment to Security Agreement, December 29, 2021, between Applied Optoelectronics, Inc. and Truist Bank. Exhibit 10.1 SIXTH AMENDMENT TO LOAN AGREEMENT AND FIFTH AMENDMENT TO SECURITY AGREEMENT THIS SIXTH AMENDMENT TO LOAN AGREEMENT AND FIFTH AMENDMENT TO SECURITY AGREEMENT (this "Amendment") is made and entered into this 29th day of December, 2021, by and between Applied Optoelectronics, Inc., a Delaware corporation (hereinafter referred to as "Borrower") with its chief executive office and principa
January 5, 2022	EX-10.3	Addendum to Promissory Note, dated December 29, 2021, between Applied Optoelectronics, Inc. and Truist Bank. Exhibit 10.3 ADDENDUM TO PROMISSORY NOTE (Term SOFR) December 29, 2021 This ADDENDUM TO PROMISSORY NOTE (?Addendum?) is hereby made a part of the Promissory Note dated September 28, 2017 (including all addenda, renewals, extensions, modifications and substitutions thereof, the ?Note?) from APPLIED OPTOELECTRONICS, INC., a Delaware corporation (?Borrower?) payable to the order of TRUIST BANK, a Nor
November 18, 2021	EX-99.3	JOINT FILING AGREEMENT Exhibit 3 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned Reporting Persons hereby agrees to the joint filing, along with all other such Reporting Persons, on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, $0.
November 18, 2021	SC 13G	AAOI / Applied Optoelectronics Inc / D. E. SHAW & CO, L.P. - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Applied Optoelectronics, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 03823U102 (CUSIP Number) November 8, 2021 (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to which the Schedule is
November 18, 2021	EX-99.2	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 Exhibit 2 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.
November 18, 2021	EX-99.1	POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.
November 4, 2021	8-K	Results of Operations and Financial Condition 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): November 4, 2021 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)
November 4, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 4, 2021	EX-99.1	Applied Optoelectronics Reports Third Quarter 2021 Results Exhibit 99.1 Applied Optoelectronics Reports Third Quarter 2021 Results Sugar Land, Texas, November 4, 2021 ? Applied Optoelectronics, Inc. (NASDAQ: AAOI), a leading provider of fiber-optic access network products for the internet datacenter, cable broadband, telecom and fiber-to-the-home (FTTH) markets, today announced financial results for its third quarter 2021 ended September 30, 2021. ?Demand
September 7, 2021	8-K	Current Report 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): September 7, 2021 Applied Optoelectronics, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-36083 76-0533927 (State of Incorporation) (Commission File Number)

DE:A59	€19.90
GB:0HGV
IT:1AAOI	€19.60

AAOI / Applied Optoelectronics, Inc. - SEC Filings, Annual Report, Proxy Statement

Basic Stats

SEC Filings

SEC Filings (Chronological Order)

Other Listings