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Applied Optoelectronics, Inc. 
 TX
  SEC # 1158114

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1,020  SEC Filings
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  from  1/8/07  to  3/19/24  (Last Week)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — for 3/18/24 — Filed re:  Issuer / Subject Company — Filed by:  Yeh William H 
 
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Filings
involving  Applied Optoelectronics, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  325 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/13/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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155

8-K Items: 
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3/13/24 New Document this Past Month!
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  New Document this Past Month!  — ‘EX-10’
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77
9/12/23"Termination of a Material Definitive Agreement — Item 1.02 — ‘EX-10’
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13
2/22/24
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  Financial Info: 
Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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51
12/27/23"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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57
12/5/23
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  Securities & Trading: 
Unregistered Sales of Equity Securities — Item 3.02 — ‘EX-1’
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3
6/12/23
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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8
9/7/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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1
9/7/23"Submission of Matters to a Vote of Security Holders — Item 5.0712
12/1/23
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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5
11/27/23
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  Events: 
Other Events — Item 8.016
3/13/24 New Document this Past Month!
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  Financials: 
Financial Statements and Exhibits — Item 9.01  New Document this Past Month!  — Financial Reports
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136

3/13/24 New Document this Past Month!424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  New Document this Past Month! 8
2/23/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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15
11/9/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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35
8/8/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A12
8/3/23S-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-810
7/28/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A11
7/18/23PRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A2
5/24/23SDUpdate:  Specialized Disclosure Reports re: Uses of Conflict Minerals — Form SD8
3/22/23 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 6
3/17/23 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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19
3/13/23 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 8
6/11/21 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 5
3/9/18 OLDCT ORDERSEC:  SEC Confidential Treatment Order  OLD 1
3/20/14 OLD424B4Registration:  Prospectuses – Info Previously Omitted & New Facts or Events  OLD 2
3/19/14 OLDS-1MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-1 Registration  OLD 1
3/14/14 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD  — Financial Reports
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8
9/26/13 OLDFWPRegistration:  Prospectus – Free Writing  OLD 1
9/23/13 OLDCERTNASTrading:  Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD 1
9/23/13 OLD8-A12BRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
6/28/13 OLDDRSLTRComment:  Comment-Response and Draft-Registration-Statement Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC
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5
6/28/13 OLDDRSRegistration:  Draft Registration Statements by Emerging Growth Companies and Foreign Issuers — Form DRS  OLD 3
9/18/12 OLDDRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 2
7/23/08 OLDREGDEXRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 4

Letters: 
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2/18/20 OLDREDACTED EXHIBITSEC Staff Letters – Redacted Exhibits  OLD  — All Correspondence with the SEC2

General Exhibits: 
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3/13/24 New Exhibit this Past Month!EX-5Opinions of Counsel re: Legality  New Exhibit this Past Month! 30
3/13/24 New Exhibit this Past Month!EX-1Underwriting Agreements and Conflict Minerals Reports  (and mislabeled “1st Exhibits”)  New Exhibit this Past Month! 22
2/23/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/23/24EX-23Consents of Experts and Counsel50
2/23/24EX-4Instruments, Including Indentures, Defining the Rights of Security Holders15
12/27/23EX-10Material Contracts261
9/7/23EX-3Articles of Incorporation/Organization and Bylaws13
8/3/23EX-FILING FEESFiling Fees5
9/15/22 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 2
8/13/13 OLDEX-21Subsidiaries Lists  OLD 2

Additional Exhibits: 
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2/22/24EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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64

Financials: 
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3/13/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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3,487
3/13/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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112
3/13/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 434
3/13/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 76
3/13/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
104
2/23/24EX-31Certifications — §302 – SOA’0298
2/23/24EX-32Certifications — §906 – SOA’0247

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3/13/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 638


Forms
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, Documents
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& Exhibits
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 in  696 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 03823U
 

        
Latest Filing  Type    Category    Description        Documents
     
3/19/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 590
3/1/24 New Document this Past Month!144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 144  New Document this Past Month! 11
2/14/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G62
6/15/21 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 19
9/26/13 OLDFWPRegistration:  Prospectus – Free Writing  OLD 1

Letters: 
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1/11/23 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC13
1/11/23 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 3

General Exhibits: 
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6/15/21 OLDEX-24Powers of Attorney  OLD 17

Additional Exhibits: 
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2/14/23 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 39

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9/26/13 OLDGRAPHICPhoto, Image or Graph  OLD 1


        

Filings History

Year    # of Filings
In descending order
2024 20
2023 110
2022 60
2021 97
2020 97
2019 103
2018 113
2017 125
2016 77
2015 70
2014 64
2013 78
2012 1
2009 1
2008 2
2007 2

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