APPLIED OPTOELECTRONICS, INC. — Major Shareholding Notification 2025

May 15, 2025

xml version="1.0" encoding="UTF-8"? SCHEDULE 13G/A 0001104659-25-003757 Field: Pseudo-Tag; ID: Name; Data: D. E. SHAW & CO, L.P. 0001009268 XXXXXXXX LIVE 1 Common Stock, Par value $0.001 per share 03/31/2025 0001158114 Applied Optoelectronics, Inc. 03823U102 13139 Jess Pirtle Blvd. Sugar Land TX 77478 Rule 13d-1(c) D. E. Shaw & Co., L.P. DE 0.00 2239337.00 0.00 2239337.00 2239337.00 N 4.2 IA PN D. E. Shaw & Co., L.L.C. DE 0.00 2238069.00 0.00 2238069.00 2238069.00 N 4.2 OO David E. Shaw X1 0.00 2239337.00 0.00 2239337.00 2239337.00 N 4.2 IN Applied Optoelectronics, Inc. 13139 Jess Pirtle Blvd., Sugar Land, TX 77478 D. E. Shaw & Co., L.P. D. E. Shaw & Co., L.L.C. David E. Shaw The business address for each reporting person is: Two Manhattan West 375 Ninth Avenue, 52nd Floor New York, NY 10001 D. E. Shaw & Co., L.P. is a limited partnership organized under the laws of the state of Delaware. D. E. Shaw & Co., L.L.C. is a limited liability company organized under the laws of the state of Delaware. David E. Shaw is a citizen of the United States of America. Y D. E. Shaw & Co., L.P.: 2,239,337 shares This is composed of (i) 1,236,463 shares in the name of D. E. Shaw Valence Portfolios, L.L.C., (ii) 991,828 shares in the name of D. E. Shaw Oculus Portfolios, L.L.C., (iii) 9,678 shares in the name of D. E. Shaw Composite Portfolios, L.L.C., and (iv) 1,368 shares under the management of D. E. Shaw Investment Management, L.L.C. D. E. Shaw & Co., L.L.C.: 2,238,069 shares This is composed of (i) 1,236,463 shares in the name of D. E. Shaw Valence Portfolios, L.L.C., (ii) 991,828 shares in the name of D. E. Shaw Oculus Portfolios, L.L.C., (iii) 9,678 shares in the name of D. E. Shaw Composite Portfolios, L.L.C., and (iv) 100 shares in the name of D. E. Shaw Investment Management Special Investment Fund, L.L.C. David E. Shaw: 2,239,337 shares This is composed of (i) 1,236,463 shares in the name of D. E. Shaw Valence Portfolios, L.L.C., (ii) 991,828 shares in the name of D. E. Shaw Oculus Portfolios, L.L.C., (iii) 9,678 shares in the name of D. E. Shaw Composite Portfolios, L.L.C., and (iv) 1,368 shares under the management of D. E. Shaw Investment Management, L.L.C. David E. Shaw does not own any shares directly. By virtue of David E. Shaw's position as President and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of D. E. Shaw & Co., L.P., which in turn is the investment adviser of D. E. Shaw Valence Portfolios, L.L.C., D. E. Shaw Oculus Portfolios, L.L.C., and D. E. Shaw Composite Portfolios, L.L.C. and the managing member of D. E. Shaw Investment Management, L.L.C., which in turn is the investment adviser of D. E. Shaw Investment Management Special Investment Fund, L.L.C., and by virtue of David E. Shaw's position as President and sole shareholder of D. E. Shaw & Co. II, Inc., which is the managing member of D. E. Shaw & Co., L.L.C., which in turn is the manager of D. E. Shaw Valence Portfolios, L.L.C., D. E. Shaw Oculus Portfolios, L.L.C., D. E. Shaw Composite Portfolios, L.L.C., and D. E. Shaw Investment Management Special Investment Fund, L.L.C., David E. Shaw may be deemed to have the shared power to vote or direct the vote of, and the shared power to dispose or direct the disposition of, the 2,239,337 shares as described above constituting 4.2% of the outstanding shares, and, therefore, David E. Shaw may be deemed to be the beneficial owner of such shares. David E. Shaw disclaims beneficial ownership of such 2,239,337 shares. D. E. Shaw & Co., L.P.: 4.2% D. E. Shaw & Co., L.L.C.: 4.2% David E. Shaw: 4.2% D. E. Shaw & Co., L.P.: 0 shares D. E. Shaw & Co., L.L.C.: 0 shares David E. Shaw: 0 shares D. E. Shaw & Co., L.P.: 2,239,337 shares D. E. Shaw & Co., L.L.C.: 2,238,069 shares David E. Shaw: 2,239,337 shares D. E. Shaw & Co., L.P.: 0 shares D. E. Shaw & Co., L.L.C.: 0 shares David E. Shaw: 0 shares D. E. Shaw & Co., L.P.: 2,239,337 shares D. E. Shaw & Co., L.L.C.: 2,238,069 shares David E. Shaw: 2,239,337 shares N Y Y Y Y Y N By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11. Exhibit 3: Joint Filing Agreement, by and among the Reporting Persons, dated May 15, 2025. D. E. Shaw & Co., L.P. /s/ Daniel R. Marcus Daniel R. Marcus / Chief Compliance Officer 05/15/2025 D. E. Shaw & Co., L.L.C. /s/ Daniel R. Marcus Daniel R. Marcus / Authorized Signatory 05/15/2025 David E. Shaw /s/ Daniel R. Marcus Daniel R. Marcus / Attorney-in-Fact for David E. Shaw 05/15/2025 Exhibit 1: Power of Attorney, granted by David E. Shaw relating to D. E. Shaw & Co., Inc., in favor of the signatories hereto, among others, dated August 1, 2024. Exhibit 2: Power of Attorney, granted by David E. Shaw relating to D. E. Shaw & Co. II, Inc., in favor of the signatories hereto, among others, dated August 1, 2024.