APPLIED OPTOELECTRONICS, INC.

Regulatory Filings • Nov 27, 2023

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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)	(Commission File Number)	(IRS
Employer Identification No.)

13139 Jess Pirtle Blvd. Sugar Land , Texas 77478

(Address of principal executive offices) (Zip Code)

( 281 ) 295-1800

(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

| Title of each class | Trading
Symbol(s) | Trading
Name of each exchange on which registered |
| --- | --- | --- |
| Common Stock, Par value $0.001 | AAOI | NASDAQ Global Market |

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ¨

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

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ITEM 8.01. OTHER EVENTS.

Applied Optoelectronics, Inc. (the “Company”) completed its previously announced $70.0 million “at the market” common stock offering. The company sold a total of 7,649,614 shares, raising net proceeds (after sales commissions) of $68.6 million, which is inclusive of $43.1 million in sales previously announced during the Company’s earnings call on November 9, 2023.

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SIGNATURES

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

Applied Optoelectronics, Inc.
By:	/ s / Stefan J. Murry
	Stefan J. Murry
	Chief Financial
Officer

Date: November 27, 2023

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