0001158114 false 0001158114 2020-06-04 2020-06-04 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

 

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): June 4, 2020

______________

 

Applied Optoelectronics, Inc.

(Exact name of Registrant as specified in its charter)

 

Delaware 001-36083 76-0533927
(State 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:

 

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered

Common Stock, Par value $0.001

 AAOI NASDAQ Global Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

   
 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

 

Applied Optoelectronics, Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders on June 4, 2020. Holders of an aggregate of 20,253,879 shares of the Company’s common stock at the close of business on April 9, 2020 were entitled to vote at the meeting, of which 14,823,757 or 73.18%, of the eligible shares were represented in person or by proxy. The matters voted upon at the meeting and the results of those votes were as follows:

 

Proposal 1: Election of Class I Directors

 

    Votes For   Votes Withheld   Broker Non-Votes
Che-Wei Lin   4,380,775   2,087,574   8,355,408
Elizabeth Loboa   6,201,210   267,139   8,355,408

 

Proposal 2: Ratification of the appointment of Grant Thornton LLP as independent registered public accounting firm for the fiscal year ending December 31, 2020.

 

         

Votes For

  

Votes Against

  

Votes Abstaining

12,887,943   548,848   590,330

 

Proposal 3: To approve, on an advisory basis, our executive compensation, or the say-on-pay vote.

 

Votes For

  

Votes Against

   Votes Abstaining  

Broker Non-Votes

2,062,269   3,517,173   92,271   8,355,408

 

 

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

104 Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document).

 

 

 2 
 

 

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 Secretary

 

Date:  June 4, 2020

 

 

 

 

 

 

 

 

 

 3 

 v3.20.1
Cover
Jun. 04, 2020
Cover [Abstract]  
Document Type 8-K
Amendment Flag false
Document Period End Date Jun. 04, 2020
Entity File Number 001-36083
Entity Registrant Name Applied Optoelectronics, Inc.
Entity Central Index Key 0001158114
Entity Tax Identification Number 76-0533927
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One 13139 Jess Pirtle Blvd.
Entity Address, City or Town Sugar Land
Entity Address, State or Province TX
Entity Address, Postal Zip Code 77478
City Area Code (281)
Local Phone Number 295-1800
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Title of 12(b) Security Common Stock, Par value $0.001
Trading Symbol AAOI
Security Exchange Name NASDAQ
Entity Emerging Growth Company false