IPO registrations (S-1, F-1) · Registrants
APPLIED OPTOELECTRONICS, INC.
- SEC CIK
- 1158114 · filings on EDGAR ↗
- Former names
- APPLIED OPTOELECTRONICS INC (2006–2012)
- Registration
- Form S-1, first filed 2013-08-13, last 2014-03-14; 2 initial registrations, 6 amendments
- Outcome
- Final prospectus filed 2013-09-26; declared effective 2013-09-25
- Industry (SIC)
- Semiconductors & Related Devices 3674
- Incorporated in
- DE
- Business address
- 13139 JESS PIRTLE BLVD, Sugar Land, TX 77478
- EIN
- 76-0533927
- Ticker
- AAOI (Nasdaq)
- EDGAR entity type
- operating
- Insiders and CEO pay
- APPLIED OPTOELECTRONICS, INC. on the corporate pages
Offering terms
- Proposed price range
- $13.00–$15.00 per share (S-1/A filed 2013-09-20)
- Final price
- $10.00 per share, below the range (424B4 filed 2013-09-26, an initial public offering)
- Shares sold
- 3,600,000
- Gross proceeds
- $36,000,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol AAOI
- Lead underwriters
- Raymond James; Piper Sandler
- Syndicate
- Cowen; Roth Capital Partners
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: APPLIED OPTOELECTRONICS, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: APPLIED OPTOELECTRONICS, INC. EXACT (EIN (EXACT))
- Lobbying client: APPLIED OPTOELECTRONICS, INC. Fuzzy (name and state)
- SEC filer: APPLIED OPTOELECTRONICS, INC. EXACT (CIK (EXACT))
Filings 14
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2013-08-13 | S-1 | S-1 (registration) | APPLIED OPTOELECTRONICS, INC. | 0001047469-13-008409 ↗ |
| 2013-08-27 | S-1/A | S-1/A (amendment) | APPLIED OPTOELECTRONICS, INC. | 0001047469-13-008695 ↗ |
| 2013-09-11 | S-1/A | S-1/A (amendment) | APPLIED OPTOELECTRONICS, INC. | 0001047469-13-008982 ↗ |
| 2013-09-20 | S-1/A | S-1/A (amendment) | APPLIED OPTOELECTRONICS, INC. | 0001047469-13-009212 ↗ |
| 2013-09-25 | EFFECT | EFFECT (declared effective) | APPLIED OPTOELECTRONICS, INC. | 9999999995-13-002782 ↗ |
| 2013-09-26 | 424B4 | 424B4 (final prospectus) | APPLIED OPTOELECTRONICS, INC. | 0001047469-13-009310 ↗ |
| 2014-03-06 | S-1 | S-1 (registration) | APPLIED OPTOELECTRONICS, INC. | 0001047469-14-001919 ↗ |
| 2014-03-13 | S-1/A | S-1/A (amendment) | APPLIED OPTOELECTRONICS, INC. | 0001047469-14-002267 ↗ |
| 2014-03-14 | S-1/A | S-1/A (amendment) | APPLIED OPTOELECTRONICS, INC. | 0001047469-14-002358 ↗ |
| 2014-03-14 | S-1/A | S-1/A (amendment) | APPLIED OPTOELECTRONICS, INC. | 0001047469-14-002425 ↗ |
| 2014-03-19 | S-1MEF | S-1MEF (added securities) | APPLIED OPTOELECTRONICS, INC. | 0001047469-14-002660 ↗ |
| 2014-03-19 | EFFECT | EFFECT (declared effective) | APPLIED OPTOELECTRONICS, INC. | 9999999995-14-000700 ↗ |
| 2014-03-20 | 424B4 | 424B4 (final prospectus) | APPLIED OPTOELECTRONICS, INC. | 0001047469-14-002669 ↗ |
| 2015-06-23 | EFFECT | EFFECT (declared effective) | APPLIED OPTOELECTRONICS, INC. | 9999999995-15-001708 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2013-09-20 | S-1/A | registration statement | $13.00–$15.00 | 3,600,000 | - | Nasdaq AAOI | 4 | primary document; range, shares headline, cover names 4 | document ↗ | |
| 2013-09-26 | 424B4 | final prospectus | $10.00 | 3,600,000 | $36,000,000 | Nasdaq AAOI | 4 | primary document; price sentence, shares headline, proceeds table, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Anselm Klaus Alexander | Officer | VP of Semiconductor Products; VP Semiconductor Products | 8 | 2013–2016 | |
| BLACK RICHARD B | Director | 34 | 2013–2026 | ||
| Chang Hung-Lun (Fred) | Officer | *** See Remarks; ** See Remarks below; *** See Remarks below; See Remarks Below ** | 115 | 2013–2026 | |
| Chen Min-Chu (Mike) | Director | 25 | 2013–2026 | ||
| DUNN JAMES L JR | Officer | Chief Financial Officer | 6 | 2013–2014 | |
| Ignatiev Alex | Director | 10 | 2013–2020 | ||
| Kang Juen-Sheng (Andrew) | Director | 3 | 2013 | ||
| Kuo David C | Officer | General Counsel and Secretary; *** See Remarks; ***See Remarks | 110 | 2013–2026 | |
| Li Chung-Yao (Ford) | Officer; Other | Sr. VP, Asia General Manager | 5 | 2013–2015 | |
| Lin Chih-Hsiang (Thompson) | Director,Officer; Officer | Chief Executive Officer; Pres. and CEO; President and CEO | 131 | 2013–2026 | |
| MOORE ALAN D | Director | 11 | 2013–2019 | ||
| Murry Stefan J. | Officer | Chief Financial Officer; Chief Strategy Officer | 144 | 2013–2026 | |
| Yeh Shu-Hua (Joshua) | Officer | ** See below; ** See Remark; *** See Remarks; ** See Remarks below | 100 | 2013–2026 | |
| Yeh William H | Director | 27 | 2013–2026 | ||
| Lin Chewei | Director | 41 | 2014–2026 | ||
| Loboa Elizabeth G | Director | 11 | 2020–2026 | ||
| DeLaney Cynthia | Director | 10 | 2021–2026 | ||
| Flanagan Robert James | Director | 2 | 2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | APPLIED OPTOELECTRONICS, INC. | TX | State business registries | name and state |
| Plan sponsor | APPLIED OPTOELECTRONICS, INC. | TX | Form 5500 (employee benefit plans) | EIN (EXACT) |
| Lobbying client | APPLIED OPTOELECTRONICS, INC. | TX | Federal lobbying (LDA) | name and state |
| Patent assignee | Applied Optoelectronics, Inc. | TX | Patents (USPTO) | name and state |
| SEC filer | APPLIED OPTOELECTRONICS, INC. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Applied Optoelectronics, Inc. | TX | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | APPLIED OPTOELECTRONICS, INC. | EIN (EXACT) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
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In other datasets, the same topic (Technology) in TX:
- Lobbying client: 3001 INC (Federal lobbying (LDA))
Interests: Semiconductors & Related Devices · Technology