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 67, 2025

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.)
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

13139 Jess Pirtle Blvd. Sugar Land, Texas 77478

13139 Jess Pirtle Blvd.
Sugar Land, Texas	77478
(Address of principal executive offices)	(Zip Code)

(Address of principal executive offices and zip code)

(281) 295-1800

(Registrant’'s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

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 (see General Instruction A.2. below):

¨	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)	Trading 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. o¨

~~ITEM~~Item 21.0201. ~~RESULTS~~Entry OFinto ~~OPERATIONS~~a ~~AND~~Material ~~FINANCIAL~~Definitive ~~CONDITION~~Agreement.

On November 67, 2025, Applied Optoelectronics, Inc. (the “Company”) ~~issued~~entered ainto ~~press~~an ~~release~~Equity ~~regarding~~Distribution Agreement (the ~~Company’s~~“Agreement”) ~~financial~~with ~~results~~Raymond James & Associates, ~~for~~Inc. ~~the~~and ~~third~~Needham ~~quarter~~& ~~ended~~Company, ~~September~~LLC 30(collectively, ~~2025.~~the A“Sales ~~copy~~Agents”) pursuant to which the Company may issue and sell shares of the Company’s ~~press~~common ~~release~~stock, ispar ~~attached~~value as$0.001 ~~Exhibit~~per ~~99.1~~share (the “Shares”) having an aggregate offering price of up to $180 ~~this~~million ~~Form~~from ~~8-K~~time to time through the Sales Agents.

~~The~~Upon ~~information furnished~~delivery inof ~~this~~a ~~Current~~placement ~~Report~~notice ~~under~~and ~~this~~subject to ~~Item~~the ~~2.02~~terms and conditions of the ~~exhibits~~Agreement, ~~attached~~sales, ~~hereto~~if ~~shall~~any, ~~not~~of the Shares will be made through the Sales Agents in transactions that are deemed to be “~~filed~~at the market” ~~for~~offerings ~~purposes of~~as ~~Section~~defined 18in Rule 415 of the Securities ~~Exchange~~ Act of ~~1934~~1933, as amended (the “~~Exchange~~ Securities Act”), orincluding ~~incorporated~~sales bymade ~~reference~~through inthe facilities of the Nasdaq Global Market, the principal trading market for the Company’s common stock, on any other existing trading market for the Company’s common stock, to or through a market maker or as otherwise ~~filing~~agreed ~~under~~by the ~~Securities~~Company ~~Act~~and the Sales Agents. In the placement notice, the Company will designate the maximum number of ~~1933~~Shares to be sold through the Sales Agents, asthe ~~amended~~time period during which sales are requested to be made, orthe minimum price for the ~~Exchange~~Shares ~~Act~~to be sold, ~~except~~and any aslimitation ~~shall~~on the number of Shares that may be ~~expressly~~sold ~~set~~in ~~forth~~any byone ~~specific~~day. ~~reference~~Subject to the terms and conditions of the Agreement, the Sales Agents will use their commercially reasonable efforts to sell Shares on the Company’s behalf up to the designated amount specified in ~~such~~the aplacement ~~filing~~notice. The Company has no obligation to sell any Shares under the Agreement and may at any time suspend offers and sales of the Shares under the Agreement.

~~ITEM~~The 9Agreement provides that the Sales Agents will be entitled to compensation of 2% of the gross sales price of the Shares sold through the Sales Agents from time to time.01 The Company has also agreed to reimburse the Sales Agents for certain specified expenses in connection with the registration of Shares under state blue sky laws and any filing with, and clearance of the offering by, the Financial Industry Regulatory Authority Inc., ~~FINANCIAL~~not ~~STATEMENTS~~to ~~AND~~exceed ~~EXHIBITS~~$10,000 in the aggregate, and any associated application fees incurred. Additionally, if the Agreement is terminated under certain circumstances, and the Company fails to sell a minimum amount of the Shares as set forth in the Agreement, then the Company has agreed to reimburse the Sales Agents for reasonable out-of-pocket expenses, including the reasonable fees and disbursements of counsel incurred by the Sales Agents, up to a maximum of $30,000 in the aggregate. The Company agreed to indemnify the Sales Agents against certain liabilities, including liabilities under the Securities Act, or to contribute to payments that the Sales Agents may be required to make because of any of those liabilities.

~~(d)~~The ~~Exhibits~~offering pursuant to the Agreement will terminate upon the sale of all Shares subject to the Agreement. The Agreement may also be terminated by the Company or by the Sales Agents at any time.

Exhibit Number	Description
99.1	Press release dated November 6, 2025, issued by Applied Optoelectronics, Inc., filed herewith.
104	Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document).

The Shares to be issued and sold have been registered under the Securities Act, pursuant to the Company’s automatic shelf registration statement on Form S-3ASR (Registration No. 333-283905), including the prospectus contained therein, as supplemented by the prospectus supplement filed with the Securities and Exchange Commission (the “SEC”) pursuant to Rule 424(b) under the Securities Act on November 7, 2025.

2The foregoing description of the Agreement does not purport to be complete and is qualified in its entirety by reference to the complete text of the Agreement, which is filed as Exhibit 1.1 to this Current Report on Form 8-K and incorporated herein by reference.

~~SIGNATURES~~Item 9.01. Financial Statements and Exhibits.

~~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~~(d) Exhibits.

Date: November 6, 2025	Applied Optoelectronics, Inc.
Exhibit No.		Description
	By:	/s/ Stefan J. Murry
1.1		Equity Distribution Agreement, dated November 7, 2025, among Applied Optoelectronics, Inc., Raymond James & Associates, Inc., and Needham & Company, LLC.
		Stefan J. Murry
4.1		Common Stock Specimen (incorporated by reference to Exhibit 4.1 of Applied Optoelectronics, Inc’s Form 8-K (File No. 001-36083) filed with the SEC on November 14, 2016).
		Chief Financial Officer
5.1		Opinion of Haynes and Boone, LLP.
23.1		Consent of Haynes and Boone, LLP (included in Exhibit 5.1).
104		Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document).

3SIGNATURES

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

	APPLIED OPTOELECTRONICS, INC.

Date: November 7, 2025	By:	/s/ David C. Kuo
	Name:	David C. Kuo
	Title:	Senior Vice President and Chief Legal Officer

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