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Invesco Ltd. filed a Schedule 13G reporting a passive ownership stake in Applied Optoelectronics Inc. common stock. As of December 31, 2025, Invesco may be deemed to beneficially own 3,512,309 shares, representing 5.1% of the outstanding class.
Invesco reports sole voting power over 3,489,951 shares and sole dispositive power over 3,512,309 shares, with no shared voting or dispositive power. The shares are held in client accounts of Invesco’s investment advisers, with no single client holding more than 5% economic ownership, and are certified as held in the ordinary course of business, not to influence control.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What did Invesco Ltd. disclose about Applied Optoelectronics (AAOI)?
Invesco Ltd. disclosed a passive ownership stake in Applied Optoelectronics common stock on Schedule 13G. It reported beneficial ownership of 3,512,309 shares, indicating a significant institutional position while certifying the holdings are in the ordinary course of business, not to influence control.
How large is Invesco’s ownership stake in AAOI according to this filing?
Invesco reported beneficial ownership of 3,512,309 Applied Optoelectronics common shares, representing 5.1% of the outstanding class. This crosses the 5% disclosure threshold under U.S. securities rules, requiring the Schedule 13G filing as of the event date December 31, 2025.
Does Invesco have voting and dispositive power over AAOI shares?
Invesco reports sole voting power over 3,489,951 Applied Optoelectronics shares and sole dispositive power over 3,512,309 shares. It reports zero shared voting or dispositive power, indicating decision-making authority is concentrated with Invesco’s advisory structure rather than in joint arrangements.
Is Invesco’s AAOI stake an activist position or a passive investment?
Invesco characterizes the AAOI stake as a passive investment held in the ordinary course of business. The certification states the securities were not acquired and are not held to change or influence control of Applied Optoelectronics, aligning with a Schedule 13G rather than activist 13D posture.
Who ultimately benefits economically from Invesco’s AAOI holdings?
The shares are held in client accounts managed by Invesco’s investment advisers, including Invesco Advisers, Inc. and Invesco Capital Management LLC. The filing notes no single individual has more than 5% economic ownership, while fund shareholders receive dividends and sale proceeds from the securities.
What is the significance of the December 31, 2025 date in Invesco’s AAOI filing?
December 31, 2025 is the event date triggering the Schedule 13G disclosure for Applied Optoelectronics. As of that date, Invesco’s beneficial ownership reached 3,512,309 shares, or 5.1% of the class, requiring public reporting of this institutional position under SEC rules.
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Applied Optoelectronics Inc
(Name of Issuer)
Common Stock
(Title of Class of Securities)
03823U102
(CUSIP Number)
12/31/2025
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)
SCHEDULE 13G
CUSIP No.
03823U102
1
Names of Reporting Persons
Invesco Ltd.
2
Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
3
Sec Use Only
4
Citizenship or Place of Organization
BERMUDA
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
3,489,951.00
6
Shared Voting Power
0.00
7
Sole Dispositive Power
3,512,309.00
8
Shared Dispositive Power
0.00
9
Aggregate Amount Beneficially Owned by Each Reporting Person
3,512,309.00
10
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
11
Percent of class represented by amount in row (9)
5.1 %
12
Type of Reporting Person (See Instructions)
HC, IA
SCHEDULE 13G
Item 1.
(a)
Name of issuer:
Applied Optoelectronics Inc
(b)
Address of issuer's principal executive offices:
13139 Jess Pirtle Blvd, Sugar Land, TX 77478
Item 2.
(a)
Name of person filing:
Invesco Ltd. ("Invesco Ltd.")
(b)
Address or principal business office or, if none, residence:
1331 Spring Street NW, Suite 2500, Atlanta, GA 30309
(c)
Citizenship:
Bermuda
(d)
Title of class of securities:
Common Stock
(e)
CUSIP No.:
03823U102
Item 3.
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
(k)
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.
Ownership
(a)
Amount beneficially owned:
Invesco Ltd., in its capacity as a parent holding company to its investment advisers, may be deemed to beneficially own 3,512,309 shares of the Issuer which are held of record by clients of Invesco Ltd.
(b)
Percent of class:
5.1 %
(c)
Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
3,489,951
(ii) Shared power to vote or to direct the vote:
0
(iii) Sole power to dispose or to direct the disposition of:
3,512,309
(iv) Shared power to dispose or to direct the disposition of:
0
Item 5.
Ownership of 5 Percent or Less of a Class.
Not Applicable
Item 6.
Ownership of more than 5 Percent on Behalf of Another Person.
If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than 5 percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
However, no one individual has greater than 5% economic ownership. The shareholders of the Fund have the right to receive or the power to direct the receipt of dividends and proceeds from the sale of securities listed above.
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
Invesco Advisers, Inc.
Invesco Capital Management LLC
Item 8.
Identification and Classification of Members of the Group.
Not Applicable
Item 9.
Notice of Dissolution of Group.
Not Applicable
Item 10.
Certifications:
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
