Current Report Filing (8-k)
November 03 2016 - 4:11PM
Edgar (US Regulatory)
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): November 3, 2016
______________
Applied
Optoelectronics, Inc.
(Exact name of Registrant as specified
in its charter)
Delaware
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001-36083
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76-0533927
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(State or Incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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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:
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☐
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Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
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ITEM 2.02. RESULTS OF
OPERATIONS AND FINANCIAL CONDITION.
On November 3, 2016 Applied Optoelectronics,
Inc. (the “Company”) issued a press release regarding the Company’s financial results for the third quarter ended
September 30, 2016. A copy of the Company’s press release is attached as Exhibit 99.1 to this Form 8-K.
The information furnished in this
Current Report under this Item 2.02 and the exhibits attached hereto shall not be deemed “filed” for purposes of Section
18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated by reference in any filing
under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference
in such a filing.
ITEM 9.01. FINANCIAL
STATEMENTS AND EXHIBITS.
(d) Exhibits
Exhibit Number
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Description
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99.1
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Press release dated November 3, 2016 issued by Applied Optoelectronics, Inc., filed herewith.
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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.
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Applied Optoelectronics, Inc.
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By:
/s/
Stefan
J. Murry
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Stefan J. Murry
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Chief Financial Officer
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Date: November 3, 2016
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