Welcome to our dedicated page for Applied Optoelec SEC filings (Ticker: AAOI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Applied Optoelectronics, Inc. filings document the operations, governance and capital structure of a Nasdaq-listed manufacturer of optical and HFC networking products. Its Form 8-K reports cover operating and financial results, changes in the certifying accountant, material definitive agreements, and financing arrangements tied to common stock issuance.
Proxy materials describe board elections, auditor ratification, advisory executive compensation votes, certificate-of-incorporation amendments, and equity incentive plan matters. Other material-event filings address agreements supporting manufacturing infrastructure, including cleanroom design-build work, and identify the company’s common stock registered on the Nasdaq Global Market.
Applied Optoelectronics, Inc. entered an Equity Distribution Agreement allowing it to sell shares of common stock in an at‑the‑market offering for up to $180 million through Raymond James & Associates, Inc. and Needham & Company, LLC.
Sales will be made from time to time under Rule 415, including through Nasdaq, with the company directing size, timing, and minimum price via placement notices. The company may suspend offers at any time, and either party may terminate the agreement; the program ends once all designated shares are sold.
The Sales Agents will receive a 2% commission on the gross sales price of shares sold, plus limited expense reimbursements, including up to $10,000 for blue sky/FINRA matters and up to $30,000 for certain termination-related out‑of‑pocket costs. The shares are registered on the company’s automatic shelf registration statement on Form S‑3ASR (No. 333‑283905), as supplemented by a prospectus supplement filed on November 7, 2025.
Applied Optoelectronics, Inc. (AAOI) launched an at‑the‑market offering of up to $180,000,000 of common stock through Raymond James and Needham as sales agents. Shares may be sold from time to time on Nasdaq or in other permitted transactions, with the Agents using commercially reasonable efforts and no obligation to sell a specific amount.
The company will pay up to 2.0% sales commissions and intends to use net proceeds for general corporate purposes, including debt repayment, working capital, capital expenditures and potential acquisitions. There is no escrow arrangement. As context, 68,279,888 shares were outstanding as of November 6, 2025.
The supplement includes an illustrative dilution scenario at a $29.10 share price and outlines standard ATM distribution methods and risk factors, including pricing variability and potential dilution from future financings and equity awards.
Applied Optoelectronics (AAOI) reported Q3 2025 results with revenue of $118.6 million versus $65.2 million a year ago and a net loss of $17.9 million (basic and diluted loss per share $0.28 vs $0.42). Gross profit was $33.3 million.
Year‑to‑date, revenue reached $321.4 million with a net loss of $36.2 million. Cash and cash equivalents were $136.9 million as of September 30, 2025, supported by net financing cash inflows of $348.2 million, including a public offering of common stock generating $342.6 million. Operating cash flow used was $144.9 million and investing used $125.7 million.
Q3 revenue mix was led by CATV $70.6M (59.5%) and Data Center $43.9M (37.0%). Accounts receivable were $224.0 million, with $193.7 million due from DigiComm. The company exchanged most 2026 convertibles into $125.0 million 2030 notes and retired the remaining 2026 notes on July 30, 2025 by issuing 239,404 shares. As of November 3, 2025, shares outstanding were 68,278,417.
Applied Optoelectronics, Inc. (AAOI) announced third‑quarter results by issuing a press release for the period ended September 30, 2025. The company furnished the release as part of an 8‑K dated November 6, 2025.
The company stated the information under Item 2.02 and the attached exhibits is furnished and not deemed filed under the Exchange Act. The press release is included as Exhibit 99.1; the cover page interactive data is provided as Exhibit 104.
Applied Optoelectronics (AAOI), through its subsidiary Prime World International Holdings, signed a new premises lease with International Games System Co., Ltd. to take the remaining portion of its New Taipei City facility, adding approximately 54,086 square feet and becoming the sole tenant at No. 49, Wugong 6th Road.
The lease runs from December 1, 2025 to October 31, 2040, following a rent‑free renovation period from November 1–30, 2025. Monthly rent is scheduled at NTD 1,292,000 through October 31, 2030, NTD 1,330,760 from November 1, 2030 to October 31, 2035, and NTD 1,370,683 from November 1, 2035 to October 31, 2040, reflecting ~3% increases about every five years. Prime World may modify the building at its expense and holds key protections: a right of first refusal to purchase, lease enforceability against any successor owner, a right of first refusal to renew, and no early termination during the first eight years; after that, termination requires 12 months’ notice and three months’ rent.
Applied Optoelectronics (AAOI) officer Hung‑Lun (Fred) Chang reported share surrenders to cover taxes upon RSU vesting. On 10/22/2025, he surrendered 1,705, 2,676, 614, and 774 shares (Code F) at $33.4 per share to satisfy withholding tied to RSU awards granted on June 27, 2022; June 26, 2023; April 29, 2024; and April 11, 2025. Following these transactions, he directly beneficially owns 250,557 shares. These are administrative tax-withholding events, not open‑market sales.
Applied Optoelectronics (AAOI) officer David C. Kuo reported administrative insider transactions on Form 4. On 10/22/2025, he surrendered shares to the issuer under transaction code F to cover tax withholding upon the vesting of previously granted RSUs. The reported surrender amounts were 1,066, 1,869, 472, and 516 shares, each at a price of $33.4 per share. Following these withholding-related transactions, his beneficial ownership stood at 143,448 shares, held directly.
Applied Optoelectronics (AAOI) President and CEO, Chih-Hsiang (Thompson) Lin, reported Form 4 transactions on 10/22/2025 reflecting shares withheld to cover taxes upon RSU vesting (transaction code F).
Shares surrendered at a price of $33.4 were: 5,491 (grant 6/27/2022), 8,753 (grant 6/26/2023), 2,332 (grant 4/29/2024), and 2,524 (grant 4/11/2025). Following these entries, Lin’s direct beneficial ownership stands at 1,644,390 shares.
Applied Optoelectronics (AAOI) CFO Stefan J. Murry reported automatic share surrenders on 10/22/2025 to cover taxes upon RSU vesting. Four transactions coded F reflect shares withheld by the issuer at $33.4 per share: 1,865, 2,973, 679, and 989 shares. Following these withholdings, Murry directly beneficially owned 291,971 shares.
The footnotes state each surrender satisfied tax-withholding obligations tied to RSU grants dated June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. The filing is by one reporting person and indicates the transactions were non‑open‑market withholdings associated with vesting.
Applied Optoelectronics (AAOI) reported insider activity by Senior Vice President and Asia General Manager Shu-Hua (Joshua) Yeh. On 10/22/2025, Yeh executed four transactions coded F, indicating shares were surrendered to the company to satisfy tax-withholding obligations tied to the vesting of previously granted restricted stock units.
The share surrenders occurred at a price of $33.4 and were associated with RSU awards originally granted on June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. Following these transactions, Yeh’s directly held beneficial ownership was 352,175 shares.