APPLIED OPTOELECTRONICS, INC.
For the period ended Jun 30, 2026. Filed Aug 6, 2026.
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Jun 30, 2026 · Filed Aug 6, 2026
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Unregistered Sales of Equity Securities and Use of Proceeds
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds
On June 26, 2026, a holder of the Company's 2.75% Convertible Senior Notes due 2030 (the "2030 Notes") converted $75 thousand in aggregate principal amount of 2030 Notes into 1,731 shares of the Company's Common Stock, based on the applicable conversion rate of 23.0884 shares per $1,000 principal amount of the 2030 Notes. The shares of Common Stock were issued in reliance on the exemption from registration provided by Section 3(a)(9) of the Securities Act of 1933, as amended. No proceeds were received by the Company in connection with the conversion.
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