APPLIED OPTOELECTRONICS INC
For the period ended Dec 31, 2023. Filed Feb 23, 2024.
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FY2023 · Filed Feb 23, 2024
AAOI$52.10+3.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 16. Form 10-K Summary
None.
EXHIBIT INDEX
| Incorporated By Reference | ||||||
|---|---|---|---|---|---|---|
| Number · Exhibit Description · Form · File No. · Exhibit · Filing Date | ||||||
| 2.1 | ** | Agreement for the Sale and Purchase of a New Company to Be Established in Hong Kong Special Administrative Region of The People's Republic of China, dated as of September 15, 2022, by and between Prime World International Holdings Ltd., Applied Optoelectronics, Inc. and Yuhan Optoelectronics Technology (Shanghai) Co., Ltd. | 8-K | 001-36083 | 2.1 | September 15, 2022 |
| 3.1 | Amended and Restated Certificate of Incorporation of the registrant, as currently in effect | 10-Q | 001-36083 | 3.1 | November 14, 2013 | |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Applied Optoelectronics, Inc. | 8-K | 001-36083 | 3.1 | September 7, 2023 | |
| 3.3 | Amended and Restated Bylaws of the registrant, as currently in effect | 10-Q | 001-36083 | 3.2 | November 14, 2013 | |
| 4.1 | Common Stock Specimen | 8-K | 001-36083 | 4.1 | November 14, 2016 | |
| 4.2 | Indenture, dated as of March 5, 2019 between Applied Optoelectronics, Inc. and Wells Fargo Bank, National Association, as trustee, paying agent, and conversion agent | 8-K | 001-36083 | 4.1 | March 5, 2019 | |
| 4.3 | Form of Note representing the Company’s 5.00% Convertible Senior Notes due 2024 (included as Exhibit A to the Indenture) | 8-K | 001-36083 | 4.1 | March 5, 2019 | |
| 4.4 | Indenture, dated as of December 5, 2023, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as Trustee | 8-K | 001-36083 | 4.1 | December 5, 2023 | |
| 4.5 | Form of 5.250% Convertible Senior Note due 2026 (included as an exhibit to Exhibit 4.1) | 8-K | 001-36083 | 4.2 | December 5, 2023 | |
| 4.6 | First Supplemental Indenture, dated as of December 5, 2023, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as Trustee | 8-K | 001-36083 | 4.3 | December 5, 2023 | |
| 4.7 | * | Description of Company's Common Stock | ||||
| 10.1 | Form of Indemnification Agreement between the registrant each of its Directors and certain of its Executive Officers | S-1 | 333-190591 | 10.1 | August 13, 2013 | |
| 10.2 | † | Amended and Restated 2013 Equity Incentive Plan | 10-K | 001-36083 | 10.6 | March 9, 2017 |
| 10.2.1 | † | Form of Restricted Stock Award Agreement under 2013 Equity Incentive Plan | S-1 | 333-190591 | 10.6.1 | August 13, 2013 |
| 10.2.2 | † | Form of Restricted Stock Unit Award Agreement under 2013 Equity Incentive Plan | S-1 | 333-190591 | 10.6.2 | August 13, 2013 |
| 10.2.3 | † | Form of Stock Appreciation Right Award Agreement under 2013 Equity Incentive Plan | S-1 | 333-190591 | 10.6.3 | August 13, 2013 |
| 10.2.4 | † | Form of Notice of Stock Option Award and Stock Option Award Agreement under 2013 Equity Incentive Plan | S-1 | 333-190591 | 10.6.4 | August 13, 2013 |
| 10.4 | † | 2021 Stock Incentive Plan | 10-Q | 001-36083 | 10.1 | August 5, 2021 |
| 10.4.1 | † | Form of Restricted Stock Unit Award Agreement under 2021 Equity Incentive Plan | 10-Q | 001-36083 | 10.4.1 | August 5, 2021 |
| 10.4.2 | † | Form of Performance Restricted Stock Unit Award Agreement under 2021 Equity Incentive Plan | 10-Q | 001-36083 | 10.4.2 | August 5, 2021 |
| Incorporated By Reference | |||||
| Number | Exhibit Description | Form | File No. | Exhibit | Filing Date |
|---|---|---|---|---|---|
| 10.5 | † | Applied Optoelectronic, Inc. 2023 Equity Incentive Plan | 10-Q | 001-36083 | 10.1 | November 9, 2023 |
| 10.6 | † | Amended and Restated Employment Agreement regarding Change of Control or Separation of Service between the registrant and Chih-Hsiang (Thompson) Lin, dated April 16, 2013 | S-1 | 333-190591 | 10.12.1 | August 13, 2013 |
| 10.7 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and Stefan J. Murry | 10-Q/A | 001-36083 | 10.20 | August 9, 2016 |
| 10.8 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and Mr. Joshua Yeh | 10-Q/A | 001-36083 | 10.21 | August 9, 2016 |
| 10.9 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and Dr. Fred Chang | 10-Q/A | 001-36083 | 10.22 | August 9, 2016 |
| 10.10 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and David C. Kuo | 10-K | 001-36083 | 10.9 | February 28, 2018 |
| 10.11 | Supply Agreement, effective November 8, 2017, between Applied Optoelectronics, Inc. and Facebook, Inc. | 8-K | 001-36083 | 10.1 | February 24, 2018 | |
| 10.12 | Master Purchase Agreement, effective January 2, 2018, between Applied Optoelectronics, Inc. and Facebook, Inc. | 8-K | 001-36083 | 10.2 | February 21, 2018 | |
| 10.13 | Translation of Lease Agreement between Global Technology, Inc. and the People’s Republic of China in Zhejiang Province, Ningbo City, Land Resources Bureau | 10-K | 001-36083 | 10.30 | February 28, 2018 | |
| 10.13.1 | Translation of Investment and Construction Agreement between Global Technology, Inc. and the People’s Republic of China in Zhejiang Province, Ningbo City, Land Resources Bureau | 10-K | 001-36083 | 10.30.1 | February 28, 2018 | |
| 10.14 | Translation of Construction Agreement between Global Technology, Inc. and Zhejiang Xinyu Construction Group Co., Ltd. dated February 8, 2018 | 10-Q | 001-36083 | 10.5 | May 8, 2018 | |
| 10.15 | First Amendment to Lease, dated October 8, 2018, between Applied Optoelectronics, Inc. and GIG VAOI Breckinridge, LLC. | 8-K | 001-36083 | 10.1 | October 12, 2018 | |
| 10.16 | Purchase Agreement, dated as of February 28, 2019 by and among Applied Optoelectronics, Inc., Raymond James & Associates, Inc. and Cowen and Company, LLC | 8-K | 001-36083 | 10.1 | March 5, 2019 | |
| 10.17 | Translation of the Working Capital Loan Contract, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd., dated April 30, 2019 | 8-K | 001-36083 | 10.1 | May 6, 2019 | |
| 10.18 | Translation of the Working Capital Loan Contract (RMB 30,000,000), between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd., dated May 7, 2019 | 8-K | 001-36083 | 10.1 | May 13, 2019 | |
| 10.18.1 | Translation of the Working Capital Loan Contract (USD 2,000,000), between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd., dated May 8, 2019 | 8-K | 001-36083 | 10.2 | May 13, 2019 | |
| 10.19 | Translation of the Financing Credit Line Agreement, dated May 24, 2019, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. | 8-K | 001-36083 | 10.1 | May 31, 2019 | |
| 10.19.1 | Translation of the Maximum Mortgage Contract (Security Agreement), dated May 24, 2019, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. | 8-K | 001-36083 | 10.2 | May 31, 2019 | |
| 10.20 | Second Amendment to Lease, dated November 11, 2019, between Applied Optoelectronics, Inc. and ROIB2 Breckinridge, LLC. | 8-K | 001-36083 | 10.1 | November 18, 2019 | |
| 10.21 | Paycheck Protection Program Loan Promissory Note, dated April 17, 2020, executed by Applied Optoelectronics, Inc. | 8-K | 001-36083 | 10.1 | April 22, 2020 |
| Incorporated By Reference | |||||
| Number | Exhibit Description | Form | File No. | Exhibit | Filing Date |
|---|---|---|---|---|---|
| 10.22 | Translation of the Maximum Loan Contract between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated June 7, 2022. | 8-K | 001-36083 | 10.1 | June 10, 2022 | |
| 10.22.1 | Translation of the Maximum Mortgage Contract, between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated June 7, 2022. | 8-K | 001-36083 | 10.2 | June 10, 2022 | |
| 10.23 | Form of Trademark License Agreement, by and among Applied Optoelectronics, Inc., and Global Technology Co., Ltd., and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. | 8-K | 001-36083 | 10.1 | September 15, 2022 | |
| 10.23.1 | Form of Technology Cross-License Agreement, by and among Applied Optoelectronics, Inc., Global Technology Co., Ltd., and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. | 8-K | 001-36083 | 10.2 | September 15, 2022 | |
| 10.23.2 | ** | Form of Product Supply Agreement, by and between Applied Optoelectronics, Inc. and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. | 8-K | 001-36083 | 10.3 | September 15, 2022 |
| 10.23.3 | ** | Form of Contract Manufacturing Agreement, by and among Applied Optoelectronics, Inc., Global Technology Co., Ltd., and Yuhan Optoelectronic Technology (Shanghai) Co., Ltd. | 8-K | 001-36083 | 10.4 | September 15, 2022 |
| 10.24 | Loan Security and Guarantee Agreement, dated November 16, 2022, between Applied Optoelectronics, Inc. and CIT Northbridge Credit, LLC. | 8-K | 001-36083 | 10.1 | November 21, 2022 | |
| 10.25 | Statement of Work No. 1 – Foundry between Applied Optoelectronics, Inc. and Microsoft Corporation, effective December 16, 2022 | 8-K | 001-36083 | 10.1 | May 3, 2023 | |
| 10.25.1 | Microsoft Corporation Purchase Order Terms & Conditions (included as Appendix C to Exhibit 10.1) | 8-K | 001-36083 | 10.2 | May 3, 2023 |
| Incorporated By Reference | |||||
| Number | Exhibit Description | Form | File No. | Exhibit | Filing Date |
|---|---|---|---|---|---|
| 10.26 | Third Amendment to Lease, dated June 9, 2023, between Applied Optoelectronics, Inc. and Albany Road-Breck Exchange LLC | 8-K | 001-36083 | 10.1 | June 14, 2023 | |
| 10.27 | Statement of Work No. 2 – Design and Assembly, between Applied Optoelectronics, Inc. and Microsoft Corporation, effective June 21, 2023 | 8-K | 001-36083 | 10.1 | June 21, 2023 | |
| 10.27.1 | Microsoft Corporation Purchase Order Terms & Conditions (included as Appendix J to Exhibit 10.1) | 8-K | 001-36083 | 10.2 | June 21, 2023 | |
| 10.28 | Form of Exchange Agreement, dated as of November 30, 2023, between Applied Optoelectronics, Inc. and the applicable Noteholders | 8-K | 001-36083 | 10.1 | December 1, 2023 | |
| 10.29 | ** | Purchase Agreement, dated as of November 30, 2023, by and between Applied Optoelectronics, Inc. and Raymond James & Associates, Inc. | 8-K | 001-36083 | 10.1 | December 5, 2023 |
| 10.30 | Translation of the Asset Pool Agreement, between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated December 21, 2023 | 8-K | 001-36083 | 10.1 | December 27, 2023 | |
| 10.30.1 | Translation of the Pledge Contract, between Global Technology, Inc. and China Zheshang Bank Co., Ltd., dated December 21, 2023 | 8-K | 001-36083 | 10.2 | December 27, 2023 | |
| 21.1 | Subsidiaries of the registrant | S-1 | 333-190591 | 21.1 | August 13, 2013 | |
| 23.1 | * | Consent of Grant Thornton LLP | ||||
| 31.1 | * | Certification of Principal Executive Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of The Sarbanes-Oxley Act of 2002. | ||||
| 31.2 | * | Certification of Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of The Sarbanes-Oxley Act of 2002. | ||||
| 32.1 | * | Certification of Principal Executive Officer and Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. §1350 as adopted pursuant to Section 906 of The Sarbanes-Oxley Act of 2002. | ||||
| 97 | * | Compensation Recovery Policy | ||||
| 101.INS | Inline XBRL Instance Document | |||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | |||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | |||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | |||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | |||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | |||||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | |||||
- Filed herewith.
† Management contract, compensatory plan or arrangement.
** Confidential Treatment has been granted for portions of this document.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.