---
schema_version: "secwatch.filing_event.v1"
accession: "0001104659-24-130522"
form_type: "8-K"
ticker: "AAOI"
cik: "0001158114"
company_name: "APPLIED OPTOELECTRONICS, INC."
filed_at: "2024-12-20T23:59:59+00:00"
generated_at: "2026-05-29T00:04:35.867334+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.75
calibrated_materiality_score: 0.75
confidence: "high"
source: SEC EDGAR
---

# AOI exchanges $76.7M of 5.25% 2026 notes for $125M 2.75% 2030 notes and 1.49M shares; prices $33.6M equity offering

## Summary
- Exchanged ~$76.7M principal of 5.25% 2026 Notes for $125M of 2.75% 2030 Notes, ~1.49M shares, and $89.6K cash interest.
- New 2030 Notes mature Jan 15, 2030; initial conversion price ~$43.31/share (27.5% premium to Dec 18 close).
- Priced registered direct offering of 1,036,458 shares at $33.97/share for net proceeds of ~$33.6M.
- Net proceeds from equity offering for general corporate purposes, including capex and working capital.
- Both transactions expected to close on or about Dec 23, 2024, subject to customary conditions.

## SEC filing metadata
- accession: 0001104659-24-130522
- form_type: 8-K
- ticker: AAOI
- cik: 0001158114
- company_name: APPLIED OPTOELECTRONICS, INC.
- filed_at: 2024-12-20T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.75
- calibrated_materiality_score: 0.75
- confidence: high
- sec_items: 1.01, 3.02, 2.03, 7.01, 8.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1158114/000110465924130522/0001104659-24-130522-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1158114/000110465924130522/tm2431223d4_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001104659-24-130522
- JSON: https://secwatch.observer/filing/0001104659-24-130522.json
- Plain text: https://secwatch.observer/filing/0001104659-24-130522.txt

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