Current Report Filing (8-k)
September 07 2021 - 4:16PM
Edgar (US Regulatory)
0001158114
false
0001158114
2021-09-07
2021-09-07
iso4217:USD
xbrli:shares
iso4217:USD
xbrli:shares
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, 2021
Applied Optoelectronics, Inc.
(Exact name of Registrant as specified in its
charter)
|
Delaware
|
001-36083
|
76-0533927
|
|
(State of 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(s)
|
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 8.01. OTHER EVENTS.
On September
1, 2021, Applied Optoelectronics, Inc. (the “Company”) posted a copy of the Notice of Pendency and Proposed
Settlement of Stockholder Derivative Action (the “Notice”) and the Stipulation and Agreement of Settlement,
dated August 26, 2021 (the “Stipulation of Settlement”) to the Investor Relations section of the Company’s
website at http://investors.ao-inc.com/. The contents of the Company’s website shall not be deemed to be incorporated by reference
into this Current Report on Form 8-K.
On August 31,
2021, the United States District Court for the Southern District of Texas, Houston Division (the “Court”) issued
an order (the “Preliminary Order”) providing for preliminary approval of the proposed settlement of the claims
asserted nominally on behalf of the Company against the individual defendants named in the previously disclosed stockholder derivative
action entitled In re Applied Optoelectronics, Inc. Derivative Litigation (lead case no. 4:18-cv-02713) pending before the Court
in accordance with the Stipulation of Settlement, dated August 26, 2021. The Preliminary Order set November 4, 2021, as the hearing date
for the final approval of the terms of the Stipulation of Settlement.
As required
by the Preliminary Order, the Company is filing the Stipulation of Settlement and the Notice with this Current Report on Form 8-K, copies
of which are attached hereto as Exhibits 99.1 and 99.2, respectively. In accordance with the Preliminary Order, the Notice
has also been published in a press release with GlobeNewswire as an additional form of notice to the Company’s stockholders.
|
|
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/ STEFAN J. MURRY
|
|
|
Stefan J. Murry
|
|
|
Chief Financial Officer
|
Date: September 7, 2021
Applied Optoelectronics (NASDAQ:AAOI)
Historical Stock Chart
From Mar 2024 to Apr 2024
Applied Optoelectronics (NASDAQ:AAOI)
Historical Stock Chart
From Apr 2023 to Apr 2024
