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 23, 2016

 

 

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)

 

(I.R.S. Employer Identification No.)

 

13139 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:

 

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

 

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

 

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

 

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

 

 

 


 

Item 8.01                Other Events.

 

At the Market Offering Program Update

 

Since November 14, 2016, the date Applied Optoelectronics, Inc. (the “Company”) filed a prospectus supplement pursuant to Rule 424(b) under the Securities Act of 1933, as amended, to the date of this Current Report on Form 8-K, the Company has sold 1,100,000 of its common stock at an average price of $24.85 per share under its at the market offering program, resulting in net proceeds to the Company of $26,788,300 (net of $546,700 in commissions).  The Company intends to use the net proceeds received for general corporate purposes, which may include, among other things, debt repayment, working capital, and capital expenditures.

 

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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/ David C. Kuo

 

David C. Kuo

 

General Counsel and Vice President

 

Date: November 23, 2016

 

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