Amended Current Report Filing (8-k/a)
April 23 2021 - 2:29PM
Edgar (US Regulatory)
0001158114
true
This filing is being made solely to correct the number of shares initially reported.
0001158114
2020-06-04
2020-06-04
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xbrli:shares
iso4217:USD
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
______________
FORM 8-K/A
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934
Date of Report (Date of earliest event reported):
June 4, 2020
______________
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. ☐
EXPLANATORY NOTE
This Form 8-K/A (“Amendment No. 1”) is being filed solely
to update the results of the shareholder votes presented under Item 5.07 in the Current Report on Form 8-K filed with the Securities and
Exchange Commission on June 4, 2020 (“Original Form 8-K”) to correct the numbers of shares reported as voting for and against
Proposal 3. For purposes of clarity, this Amendment No. 1 amends and restates Item 5.07 of the Original Form 8-K in its entirety. No other
changes are being made to the Original Form 8-K, and this Amendment has not been updated to reflect events occurring subsequent to the
filing of the Original Form 8-K.
Item 5.07
|
Submission of Matters to a Vote of Security Holders.
|
Applied Optoelectronics,
Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders on June 4, 2020. Holders of an aggregate of 20,253,879 shares
of the Company’s common stock at the close of business on April 9, 2020 were entitled to vote at the meeting, of which 14,823,757
or 73.18%, 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 I Directors
|
|
Votes For
|
|
Votes Withheld
|
|
Broker Non-Votes
|
Che-Wei Lin
|
|
4,380,775
|
|
2,087,574
|
|
8,355,408
|
Elizabeth Loboa
|
|
6,201,210
|
|
267,139
|
|
8,355,408
|
Proposal 2: Ratification
of the appointment of Grant Thornton LLP as independent registered public accounting firm for the fiscal year ending December 31, 2020.
|
|
|
|
|
Votes For
|
|
Votes Against
|
|
Votes Abstaining
|
13,682,617
|
|
548,931
|
|
592,209
|
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
|
2,857,246
|
|
3,518,601
|
|
92,502
|
|
8,355,408
|
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/ DAVID C. KUO
|
|
|
David C. Kuo
General
Counsel and Secretary
|
Date: April
23, 2021
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