APPLIED OPTOELECTRONICS, INC. — Regulatory Filings 2021

May 21, 2021

SD 1 appliedopto_sd.htm FORM SD

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D. C. 20549

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FORM SD

Specialized Disclosure Report

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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

(Address of principal executive offices and zip code)

David C. Kuo, General Counsel and Secretary

(281) 295-1800

(Name and telephone number, including area code of the person to contact in connection with this Report)

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

ü Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.

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SECTION 1 - CONFLICT MINERALS DISCLOSURE

Items 1.01 Conflict Minerals Disclosure and Report

Applied Optoelectronics, Inc. (the “Company”) is filing this Form SD for the reporting period from January 1, 2020 to December 31, 2020, pursuant to Rule 13p-1 under the Securities Exchange Act of 1934. The Conflict Minerals Report is publicly available on the Company’s website at http://ao-inc.com/about-our-company/global-compliance.

Item 1.02. Exhibit.

The Company is filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

SECTION 2 – EXHIBITS

Item 2.01. Exhibits.

Exhibit 1.01 Applied Optoelectronics, Inc.’s Conflict Minerals Report for the reporting period from January 1, 2020 to December 31, 2020.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: May 21, 2021
By:	/s/ David C. Kuo
Name:	David C. Kuo
Title:	General Counsel and Secretary

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