UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 OR 15(d)
of
The Securities Exchange Act of 1934
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Item 8.01. Other Events.
On April 25, 2025, Applied Optoelectronics, Inc. (the “Company”) filed a prospectus supplement (the “Resale Prospectus Supplement”) to its previously filed automatic shelf registration statement on Form S-3 (File No. 333-283905) registering the resale of up to an aggregate of 7,945,399 shares of the Company’s common stock, par value $0.001 per share (the “Shares”), which may be used by the selling stockholder identified therein (the “Selling Stockholder”), to resell the Shares.
The Shares are issuable upon the exercise of a warrant issued pursuant to a Warrant Agreement, dated as of March 13, 2025. The Company will not receive any proceeds from any sale of Shares by the Selling Stockholder.
The Company is filing this report to provide the legal opinion as to the validity of the Shares covered by the Resale Prospectus Supplement, which opinion is attached hereto as Exhibit 5.1.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
|
Exhibit |
Description | |
| 5.1 | Opinion of Norton Rose Fulbright US LLP relating to the Resale Prospectus Supplement. | |
| 23.2 | Consent of Norton Rose Fulbright US LLP (included in Exhibit 5.1). | |
| 104 | Cover Page Interactive Data File - Embedded within the inline XBRL document |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| APPLIED OPTOELECTRONICS, INC. | ||
| (Registrant) | ||
| April 25, 2025 | ||
| By: | /s/ David C. Kuo | |
| David C. Kuo | ||
| Senior Vice President and Chief Legal Officer | ||