SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/13/23 Applied Optoelectronics, Inc. S-3/A 2:369K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3/A Pre-Effective Amendment to Registration Statement HTML 285K - Securities for a Transaction 2: EX-23.2 Consent of Expert or Counsel HTML 4K
tm2233059-4_s3a - block - 3.6718979s |
|
Delaware
(State or Other Jurisdiction
of Incorporation or Organization) |
| |
76-0533927
(I.R.S. Employer
Identification Number) |
|
|
Large accelerated filer
☐
|
| |
Accelerated filer
☐
|
|
|
Non-accelerated filer
☒
|
| |
Smaller reporting company
☒
|
|
| | | |
Emerging growth company
☐
|
|
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 5 | | | |
| | | | | 5 | | | |
| | | | | 6 | | | |
| | | | | 6 | | | |
| | | | | 14 | | | |
| | | | | 18 | | | |
| | | | | 18 | | | |
| | | | | 18 | | | |
| | | | | 19 | | |
|
SEC registration fee
|
| | | $ | 20,387 | | |
|
FINRA filing fee
|
| | | | * | | |
|
Legal fees and expenses
|
| | | | * | | |
|
Accounting fees and expenses
|
| | | | * | | |
|
Printing fees and expenses
|
| | | | * | | |
|
Transfer agent and trustee fees and expenses
|
| | | | * | | |
|
Miscellaneous fees and expenses
|
| | | | * | | |
|
Total
|
| | | $ | * | | |
Exhibit
Number |
| |
Description
|
|
1.1* | | | Form of Underwriting Agreement. | |
3.1 | | | | |
3.2 | | | | |
4.1 | | | | |
4.2* | | | Form of Certificate of Designation of Preferred Stock. | |
4.3* | | | Form of Warrant Certificate and Warrant Agreement. | |
4.4* | | | Form of Unit Agreement. | |
5.1+ | | | | |
23.1+ | | | | |
23.2++ | | | | |
24.1+ | | | Power of Attorney (included on the signature page of the Registration Statement). | |
107+ | | | |
|
Signature
|
| |
Date
|
|
|
/s/ Chih-Hsiang (Thompson) Lin
CHIH-HSIANG (THOMPSON) LIN,
President, Chief Executive Officer and Chairman of the Board of Director (principal executive officer) |
| | | |
|
/s/ Stefan J. Murry
STEFAN J. MURRY
Chief Financial Officer (principal financial officer and principal accounting officer) |
| | | |
|
/s/ Che-Wei Lin
CHE-WEI LIN,
Director |
| | | |
|
/s/ William H. Yeh
WILLIAM H. YEH,
Director |
| | | |
|
/s/ Richard B. Black
RICHARD B. BLACK,
Director |
| | | |
|
/s/ Cynthia (Cindy) DeLaney
CYNTHIA (CINDY) DELANEY,
Director |
| | | |
|
/s/ Elizabeth Loboa
ELIZABETH LOBOA,
Director |
| | | |
|
/s/ Min-Chu (Mike) Chen
MIN-CHU (MIKE) CHEN,
Director |
| | |
This ‘S-3/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 3/13/23 | |||
3/9/23 | ||||
3/7/23 | ||||
9/30/22 | 10-Q | |||
6/30/22 | 10-Q | |||
3/31/22 | 10-Q | |||
3/30/06 | ||||
1/13/06 | ||||
List all Filings |