Company: AAOI
Filing Date: 2025-04-25
Form Type: 424B7
Source: 0001104659-25-039431
Chunk: 8

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-04-25
Form: 424B7
Chunk 8
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, or both, and sales of substantial amounts of our common stock, or the perception that these sales could occur, could have a material adverse effect on the price of our common stock.

In addition, future issuances of our common stock or common stock-related securities, including upon possible exercise of the warrant, which number of shares of our common stock is uncertain and subject to adjustment, together with outstanding stock options and the vesting and/or settlement of outstanding stock units, may result in further dilution.

### USE OF PROCEEDS
We will not receive any of the proceeds from the sale of our common stock from time to time by the selling securityholder in this offering.

### SELLING SECURITYHOLDER
This prospectus supplement relates to the resale from time to time of up to a total of 7,945,399 shares of our common stock by the selling securityholder identified in this prospectus supplement, including the pledgees, donees, transferees or other successors in interest of the selling securityholder, which shares may be issued upon exercise of the warrants held by the selling securityholder.

On March 13, 2025, we issued the warrant to Amazon.com NV Investment Holdings LLC to acquire up to 7,945,399 shares of common stock of the Company (the “warrant shares”) at an initial exercise price of $23.6954 per share. The warrant allows for cashless exercise and expires March 13, 2035. The warrant shares are subject to vesting over time based on discretionary purchases by or on behalf of Amazon and

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its affiliates, with a portion of the warrant shares having vested as of the warrant issuance. So long as the warrant is unexercised, the warrant does not entitle the selling securityholder to any voting rights or any other common stockholder rights. The exercise price and the number of warrant shares are subject to customary anti-dilution adjustments. In addition, we agreed to use commercially reasonable efforts to file a prospectus supplement or shelf registration statement with the SEC on or prior to April 25, 2025, providing for the registration and sale of the shares of common stock issuable upon exercise of the warrant. We have agreed with the selling securityholder to use commercially reasonable efforts to cause the registration statement of which this prospectus supplement constitutes a part to remain continuously effective, and shall replace such registration statement at or before expiration with a successor registration statement, until the date on