---
schema_version: "secwatch.filing_event.v1"
accession: "0001104659-23-100154"
form_type: "8-K"
ticker: "AAOI"
cik: "0001158114"
company_name: "APPLIED OPTOELECTRONICS, INC."
filed_at: "2023-09-13T23:59:59+00:00"
generated_at: "2026-06-10T18:51:26.657534+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.3
calibrated_materiality_score: 0.3
confidence: "medium"
source: SEC EDGAR
---

# Applied Optoelectronics amends ATM equity offering facility; up to $70M available

## Summary
- Entered Amendment No. 1 to Equity Distribution Agreement with Raymond James on Sept 12, 2023.
- Total $70M at-the-market common stock offering capacity unchanged; $24M already sold as of Sept 12.
- Sales agent receives up to 2% of gross proceeds; company may sell shares at its discretion.
- Shares offered under existing effective shelf registration statement (No. 333-269132).

## SEC filing metadata
- accession: 0001104659-23-100154
- form_type: 8-K
- ticker: AAOI
- cik: 0001158114
- company_name: APPLIED OPTOELECTRONICS, INC.
- filed_at: 2023-09-13T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.3
- calibrated_materiality_score: 0.3
- confidence: medium
- sec_items: 1.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1158114/000110465923100154/0001104659-23-100154-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1158114/000110465923100154/tm2325837d1_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001104659-23-100154
- JSON: https://secwatch.observer/filing/0001104659-23-100154.json
- Plain text: https://secwatch.observer/filing/0001104659-23-100154.txt

## Key facts
- Material Agreements
  APPLIED OPTOELECTRONICS, INC. entered into Amendment No. 1 to the Equity Distribution Agreement with Raymond James & Associates, Inc. valued at aggregate offering price of up to $70 million (effective 2023-09-12).
  - Action: entry
  - Agreement: atm program
  - Counterparty: Raymond James & Associates, Inc.
  - Value: aggregate offering price of up to $70 million
  - Effective: 2023-09-12
  source text: On September 12, 2023, Applied Optoelectronics, Inc. (the “Company”) entered into Amendment No. 1 to the Equity Distribution Agreement (the “Amendment”) with Raymond James & Associates, Inc. (the “Sales Agent”), amending the Equity Distribution Agreement dated as of March 24, 2023
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000110465923100154/0001104659-23-100154-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.