Company: AAOI
Filing Date: 2025-04-25
Form Type: 424B7
Source: 0001104659-25-039431
Chunk: 10

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-04-25
Form: 424B7
Chunk 10
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* Less than 1% (1) The number of shares of common stock that may be offered by the selling securityholder includes the maximum number of shares of our common stock issuable to the selling securityholder upon exercise of the warrant is subject to adjustment as described above and accordingly, the amount of common stock issuable upon exercise of the warrant may increase or decrease in the future subject to the potential for certain anti-dilution adjustments. (2) Assumes the sale of all shares of common stock covered by this prospectus supplement by the selling securityholder and that the selling securityholder does not acquire any additional shares of common stock. (3) Shares of common stock beneficially owned consists of 1,324,233 shares of common stock underlying the warrant that are exercisable within 60 days of April 25, 2025. This prospectus supplement registers all such shares, in addition to 6,621,166 shares of common stock underlying the warrant that become exercisable only upon certain vesting events.

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TABLE OF CONTENTS

### PLAN OF DISTRIBUTION
The selling securityholder, which as used herein includes transferees, donees, pledgees and other successors in interest selling shares of our common stock received after the date of this prospectus supplement from the selling securityholder as a gift, pledge or other transfer, may, from time to time, sell any or all of their shares of our common stock covered by this prospectus supplement on the NYSE or any other stock exchange, market or trading facility on which our common stock is traded or in private transactions. These sales may be at fixed prices, at prevailing market prices at the time of sale, at prices related to the prevailing market price of our common stock, at varying prices determined at the time of sale, or at negotiated prices. We will not receive any of the proceeds from the sale of shares of our common stock covered by this prospectus supplement. To the extent the selling securityholder gifts, pledges or otherwise transfers the common stock offered hereby, such transferees, donees, pledgees or other successors in interest may offer and sell the common stock from time to time under this prospectus supplement, provided that, if required under the Securities Act and the rules and regulations promulgated thereunder, this prospectus supplement has been amended under rule 424(b)(3) or other applicable provision of the Securities Act, to include the name of such transferee in the