Washington, D. C. 20549







Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): November 13, 2013




Applied Optoelectronics, Inc.

(Exact name of Registrant as specified in its charter)


Delaware 001-36083 76-0533927
(State or incorporation)  (Commission File Number) (I.R.S. Employer Identification No.)


13115 Jess Pirtle Blvd.

Sugar Land, TX 77478

(address of principal executive offices and 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:

£ 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))




Item 1.01 Entry into a Material Definitive Agreement.


On November 13, 2013, Applied Optoelectronics, Inc. (the “Company”) executed the Eleventh Amendment to the Amended and Restated Loan and Security Agreement (the “Amendment”) which amends that certain Amended and Restated Loan and Security Agreement, dated May 20, 2009, by and among the Company and East West Bank.


Among other items, the Amendment (a) reduces the Company’s revolving line of credit from $10.5 million to $7.0 million; (b) modifies certain monthly reporting covenants; (c) allows the Company to maintain depository accounts with other US financial institution; (d) permits the Company to enter into loan agreements with other third-party financial institutions; and (e) permits the Company to pledge up to $10 million of the Company’s U.S. assets to secure debt in Asia.


The foregoing description of the Amendment does not purport to be a complete statement of the parties’ right under the Amendment and is qualified in its entirety by reference to the full text of the Amendment, a copy of which is attached as Exhibit 10.1 to this Current Report on Form 8-K and incorporated by reference herein.




Item 9.01 Financial Statements and Exhibits.


(d) Exhibits


10.1Eleventh Amendment to Amended and Restated Loan and Security Agreement effective November 13, 2013 between the registrant and East West Bank








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: November 19, 2013 APPLIED OPTOELECTRONICS, INC.  
  By: /s/ David C. Kuo  
  Name David C. Kuo,  
  Title: General Counsel and Secretary