Form 8-K - Current report
08 September 2023 - 6:03AM
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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):
September 7, 2023
Applied Optoelectronics, Inc.
(Exact name of registrant as specified in its
charter)
Delaware |
001-36083 |
76-0533927 |
(State or other jurisdiction of
incorporation) |
(Commission File Number) |
(IRS
Employer Identification No.) |
13139 Jess Pirtle Blvd.
Sugar Land, Texas 77478
(Address of principal executive offices) (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 (see General
Instruction A.2. below):
¨ 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) |
Trading
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 5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |
As approved by its stockholders at the Special
Meeting of Stockholders held on September 7, 2023 (the “Special Meeting”), Applied Optoelectronics, Inc. (the “Company”)
filed an amendment to its Amended and Restated Certificate of Incorporation with the Secretary of State of the State of Delaware on September
7, 2023 (the “Charter Amendment”) to increase the number of authorized shares of the Company’s common stock, $0.001
par value per share, from 45,000,000 to 80,000,000, and the total number of authorized shares of the Company’s capital stock of
all classes from 50,000,000 to 85,000,000.
The foregoing description of the Charter Amendment
is qualified in its entirety by reference to the full text of the Charter Amendment, a copy of which is filed with this Current Report
on Form 8-K as Exhibit 3.1 and is incorporated herein by reference.
Item 5.07 |
Submission of Matters to a Vote of Security Holders. |
The Company held the Special Meeting on September
7, 2023. Holders of an aggregate of 31,785,027 shares of the Company’s common stock at the close of business on July 19, 2023 were
entitled to vote at the meeting, of which 20,198,356 or 63.54% of the eligible shares were represented in person or by proxy. The
matters voted upon at the Special Meeting and the final results of those votes were as follows:
Proposal 1: To approve the amendment to the
Company’s Amended and Restated Certificate of Incorporation to increase the authorized number of shares of common stock from 45,000,000
shares to 80,000,000 shares.
Votes For |
|
Votes Against |
|
Votes Abstaining |
17,563,297 |
|
2,508,496 |
|
126,563 |
Proposal 2: To adjourn the meeting if sufficient
shares are not represented at the meeting “FOR” proposal 1.
Votes For |
|
Votes Against |
|
Votes Abstaining |
|
Broker Non-Votes |
12,988,480 |
|
1,418,866 |
|
165,727 |
|
5,625,283 |
Item 9.01 |
Financial Statements and Exhibits. |
(d) Exhibits
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 |
|
Senior Vice President and Chief Legal Officer |
Date: September 7, 2023
Exhibit 3.1
CERTIFICATE OF AMENDMENT
TO THE
AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION
OF
APPLIED OPTOELECTRONICS, INC.
Applied Optoelectronics,
Inc. (hereinafter called the “Corporation”), a corporation organized and existing under and by virtue of the
General Corporation Law of the State of Delaware, does hereby certify as follows:
1. |
The name of the Corporation is “Applied Optoelectronics, Inc.” |
|
|
2. |
The original Certificate of Incorporation of the Corporation was filed with the Secretary of State of the State of Delaware on March 25, 2013. The Amended and Restated Certificate of Incorporation of the Corporation was filed with the Secretary of State of the State of Delaware on October 1, 2013. |
|
|
3. |
The Amended and Restated Certificate of Incorporation
of the Corporation is hereby amended by amending the first paragraph of Article IV to provide as follows:
“The total number of shares of capital stock
which the Corporation shall have authority to issue is 85,000,000, of which (i) 80,000,000 shares shall be a class designated as common
stock, par value $0.001 per share (the “Common Stock”), and (ii) 5,000,000 shares shall be a class designated as undesignated
preferred stock, par value $0.001 per share (the “Undesignated Preferred Stock”).” |
|
|
4. |
The foregoing amendments were duly adopted in accordance with the provisions of Section 242 of the General Corporation Law of the State of Delaware. |
IN WITNESS WHEREOF, the Corporation
has caused this Certificate of Amendment to be executed and acknowledged this 7th day of September, 2023.
|
APPLIED OPTOELECTRONICS, INC. |
|
By: |
/s/ David Kuo |
|
Name: |
David Kuo |
|
Title: |
Chief Legal and Compliance Officer
and Corporate Secretary |
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