UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
FORM
CURRENT REPORT
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ITEM 8.01. OTHER EVENTS.
On September 1, 2021, Applied Optoelectronics, Inc. (the “Company”) posted a copy of the Notice of Pendency and Proposed Settlement of Stockholder Derivative Action (the “Notice”) and the Stipulation and Agreement of Settlement, dated August 26, 2021 (the “Stipulation of Settlement”) to the Investor Relations section of the Company’s website at http://investors.ao-inc.com/. The contents of the Company’s website shall not be deemed to be incorporated by reference into this Current Report on Form 8-K.
On August 31, 2021, the United States District Court for the Southern District of Texas, Houston Division (the “Court”) issued an order (the “Preliminary Order”) providing for preliminary approval of the proposed settlement of the claims asserted nominally on behalf of the Company against the individual defendants named in the previously disclosed stockholder derivative action entitled In re Applied Optoelectronics, Inc. Derivative Litigation (lead case no. 4:18-cv-02713) pending before the Court in accordance with the Stipulation of Settlement, dated August 26, 2021. The Preliminary Order set November 4, 2021, as the hearing date for the final approval of the terms of the Stipulation of Settlement.
As required by the Preliminary Order, the Company is filing the Stipulation of Settlement and the Notice with this Current Report on Form 8-K, copies of which are attached hereto as Exhibits 99.1 and 99.2, respectively. In accordance with the Preliminary Order, the Notice has also been published in a press release with GlobeNewswire as an additional form of notice to the Company’s stockholders.
| ITEM 9.01. | FINANCIAL STATEMENTS AND EXHIBITS. |
(d) Exhibits
| Exhibit Number | Description |
| 99.1 | Stipulation and Agreement of Settlement, dated August 26, 2021. |
| 99.2 | Notice of Pendency and Proposed Settlement of Stockholder Derivative Action. |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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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: September 7, 2021
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