Current Report Filing (8-k)

Date : 05/30/2019 @ 9:03PM
Source : Edgar (US Regulatory)
Stock : Applied Optoelectronics Inc (AAOI)
Quote : 7.48  0.52 (7.47%) @ 4:00AM
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Current Report Filing (8-k)




Washington, D. C. 20549







Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): May 30, 2019




Applied Optoelectronics, Inc.

(Exact name of Registrant as specified in its charter)


Delaware 001-36083 76-0533927
(State or 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 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 2019 annual meeting of stockholders on May 30, 2019. Holders of an aggregate of 19,888,344 shares of the Company’s common stock at the close of business on April 5, 2019 were entitled to vote at the meeting, of which 15,420,755 or 77.53%, 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 III Directors


    Votes For   Votes Withheld   Broker Non-Votes
Chih-Hsiang (Thompson) Lin   5,431,345   366,875   9,622,535
Richard B. Black   5,124,516   673,704   9,622,535
Min-Chu (Mike) Chen   4,409,690   1,388,530   9,622,535


Proposal 2: Ratification of the appointment of Grant Thornton LLP as independent registered public accounting firm for the fiscal year ending December 31, 2019.


Votes For


Votes Against


Votes Abstaining

14,625,168   602,260   193,327


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

2,609,743   2,881,841   306,636   9,622,535















Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


  By: /s/  David C. Kuo  
  Name David C. Kuo ,  
  Title: General Counsel and Secretary  











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