Applied Optoelectronics Files 8-K for Material Agreement
Ticker: AAOI · Form: 8-K · Filed: Aug 27, 2025 · CIK: 1158114
| Field | Detail |
|---|---|
| Company | Applied Optoelectronics, INC. (AAOI) |
| Form Type | 8-K |
| Filed Date | Aug 27, 2025 |
| Risk Level | medium |
| Pages | 4 |
| Reading Time | 4 min |
| Key Dollar Amounts | $0.001, $150 million, $10,000, $30,000 |
| Sentiment | neutral |
Sentiment: neutral
Topics: material-agreement, filing, corporate-event
TL;DR
AOI filed an 8-K on Aug 27, 2025, for a material agreement. Keep an eye on this.
AI Summary
Applied Optoelectronics, Inc. (AOI) filed an 8-K on August 27, 2025, reporting the entry into a material definitive agreement and filing financial statements and exhibits. The filing details the company's principal executive offices located at 13139 Jess Pirtle Blvd, Sugar Land, Texas, 77478.
Why It Matters
This filing indicates a significant business development or transaction for Applied Optoelectronics, Inc., which could impact its financial performance and stock value.
Risk Assessment
Risk Level: medium — Material definitive agreements can introduce new risks or opportunities that may affect the company's financial health and stock price.
Key Players & Entities
- Applied Optoelectronics, Inc. (company) — Registrant
- 13139 Jess Pirtle Blvd, Sugar Land, Texas, 77478 (location) — Principal executive offices
- August 27, 2025 (date) — Date of earliest event reported
FAQ
What is the nature of the material definitive agreement filed by Applied Optoelectronics, Inc.?
The filing states 'Entry into a Material Definitive Agreement' as an item information, but the specific details of the agreement are not provided in this excerpt.
When was this 8-K filing submitted?
The filing was submitted on August 27, 2025.
Where are Applied Optoelectronics, Inc.'s principal executive offices located?
The principal executive offices are located at 13139 Jess Pirtle Blvd, Sugar Land, Texas, 77478.
What is the Commission File Number for Applied Optoelectronics, Inc.?
The Commission File Number is 001-36083.
What is the IRS Employer Identification Number for Applied Optoelectronics, Inc.?
The IRS Employer Identification Number is 76-0533927.
Filing Stats: 1,082 words · 4 min read · ~4 pages · Grade level 11.2 · Accepted 2025-08-27 16:13:59
Key Financial Figures
- $0.001 — registered Common Stock, Par value $0.001 AAOI NASDAQ Global Market Indicate
- $150 million — ng an aggregate offering price of up to $150 million from time to time through the Sales Age
- $10,000 — egulatory Authority Inc., not to exceed $10,000 in the aggregate, and any associated ap
- $30,000 — by the Sales Agents, up to a maximum of $30,000 in the aggregate. The Company agreed to
Filing Documents
- tm2523795d2_8k.htm (8-K) — 32KB
- tm2523795d2_ex1-1.htm (EX-1.1) — 215KB
- tm2523795d2_ex5-1.htm (EX-5.1) — 10KB
- 0001104659-25-084009.txt ( ) — 475KB
- aaoi-20250827.xsd (EX-101.SCH) — 3KB
- aaoi-20250827_lab.xml (EX-101.LAB) — 33KB
- aaoi-20250827_pre.xml (EX-101.PRE) — 22KB
- tm2523795d2_8k_htm.xml (XML) — 3KB
01. Entry into a Material Definitive Agreement
Item 1.01. Entry into a Material Definitive Agreement. On August 27, 2025, Applied Optoelectronics, Inc. (the "Company") entered into an Equity Distribution Agreement (the "Agreement") with Raymond James & Associates, Inc. and Needham & Company, LLC (collectively, the "Sales Agents") pursuant to which the Company may issue and sell shares of the Company's common stock, par value $0.001 per share (the "Shares") having an aggregate offering price of up to $150 million from time to time through the Sales Agents. Upon delivery of a placement notice and subject to the terms and conditions of the Agreement, sales, if any, of the Shares will be made through the Sales Agents in transactions that are deemed to be "at the market" offerings as defined in Rule 415 of the Securities Act of 1933, as amended (the "Securities Act"), including sales made through the facilities of the Nasdaq Global Market, the principal trading market for the Company's common stock, on any other existing trading market for the Company's common stock, to or through a market maker or as otherwise agreed by the Company and the Sales Agents. In the placement notice, the Company will designate the maximum number of Shares to be sold through the Sales Agents, the time period during which sales are requested to be made, the minimum price for the Shares to be sold, and any limitation on the number of Shares that may be sold in any one day. Subject to the terms and conditions of the Agreement, the Sales Agents will use their commercially reasonable efforts to sell Shares on the Company's behalf up to the designated amount specified in the placement notice. The Company has no obligation to sell any Shares under the Agreement and may at any time suspend offers and sales of the Shares under the Agreement. The Agreement provides that the Sales Agents will be entitled to compensation of 2% of the gross sales price of the Shares sold through the Sales Agents from time to time. The Company has also agreed to rei
01. Financial Statements and Exhibits
Item 9.01. Financial Statements and Exhibits. (d) Exhibits. Exhibit No. Description 1.1 Equity Distribution Agreement, dated August 27, 2025, among Applied Optoelectronics, Inc., Raymond James & Associates, Inc., and Needham & Company, LLC. 4.1 Common Stock Specimen (incorporated by reference to Exhibit 4.1 of Applied Optoelectronics, Inc's Form 8-K (File No. 001-36083) filed with the SEC on November 14, 2016). 5.1 Opinion of Haynes and Boone, LLP. 23.1 Consent of Haynes and Boone, LLP (included in Exhibit 5.1). 104 Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document).
SIGNATURES
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. Date: August 27, 2025 By: /s/ David C. Kuo Name: David C. Kuo Title: Senior Vice President and Chief Legal Officer