Extracted from this filing and checked against the source text.
Debt Financings
SEC 8-K Item 2.03/2.04
confidence 0.9
APPLIED OPTOELECTRONICS, INC. incurred convertible notes of $80.2 million aggregate principal amount with Raymond James & Associates, Inc. at 5.250% maturing December 15, 2026.
- Instrument
- convertible notes
- Principal
- $80.2 million aggregate principal amount
- Counterparty
- Raymond James & Associates, Inc.
- Rate
- 5.250%
- Maturity
- December 15, 2026
- Event
- incurrence
Exact text from the filing
pursuant to which the Company agreed to sell and the Initial Purchaser agreed to purchase approximately $80.2 million aggregate principal amount of 5.250% Convertible Senior Notes due 2026
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Material Agreements
SEC 8-K Item 1.01/1.02
confidence 0.95
APPLIED OPTOELECTRONICS, INC. entered into Indenture with Computershare Trust Company, N.A. valued at 5.250% Convertible Senior Notes due 2026, conversion rate 65.6276 shares per $1,000 principal, conve (effective 2023-12-05).
- Action
- entry
- Agreement
- notes offering
- Counterparty
- Computershare Trust Company, N.A.
- Value
- 5.250% Convertible Senior Notes due 2026, conversion rate 65.6276 shares per $1,000 principal, conve
- Effective
- 2023-12-05
Exact text from the filing
The Convertible Notes were issued pursuant to an Indenture, dated as of December 5, 2023 (the “ Indenture ”), between the Company and Computershare Trust Company, N.A., as trustee.
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Material Agreements
SEC 8-K Item 1.01/1.02
confidence 0.95
APPLIED OPTOELECTRONICS, INC. entered into Purchase Agreement with Raymond James & Associates, Inc. valued at $80.2 million aggregate principal amount of 5.250% Convertible Senior Notes due 2026 (effective 2023-11-30).
- Action
- entry
- Agreement
- notes offering
- Counterparty
- Raymond James & Associates, Inc.
- Value
- $80.2 million aggregate principal amount of 5.250% Convertible Senior Notes due 2026
- Effective
- 2023-11-30
Exact text from the filing
On November 30, 2023, Applied Optoelectronics, Inc. (the “ Company ”) entered into a purchase agreement (the “ Purchase Agreement ”) with Raymond James & Associates, Inc. (the “ Initial Purchaser ”), pursuant to which the Company agreed to sell and the Initial Purchaser agreed to purchase approximately $80.2 million aggregate principal amount of 5.250% Convertible Senior Notes due 2026 (the “ Convertible Notes ”), for resale by the Initial Purchaser to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended (the “ Securities Act ”).
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