Company: AAOI
Filing Date: 2025-08-07
Form Type: 10-Q
Source: 0001437749-25-025450
Chunk: 147

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-08-07
Form: 10-Q
Item: Part II, Item 1A
Chunk 147
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 increased costs or secure timely alternative sources. In addition, customers may resist price increases or seek alternative suppliers, which could adversely affect our sales volumes.

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      Table of Contents

   Item 5. Other Information
    
   (a) None
    (b) None
    
   (c) The adoption or termination of contracts, instructions or written plans for the purchase or sale of our securities by our Section 16 officers and directors for the three months ended  June 30, 2025, each of which is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act ("Rule 10b5-1"), were as follows:
    
   ﻿NameTitle﻿Action﻿Date Adopted﻿Expiration Date﻿Aggregate # of Securities to be Purchased/Sold﻿
﻿David Kuo(1)﻿SVP and CLOAdoption﻿ May 15, 2025﻿ August 14, 2026﻿44,500﻿

   (1) David Kuo, our Senior Vice President and Chief Legal Officer, entered into a Rule 10b5-1 Plan on  May 15, 2025. Mr. Kuo's plan provides for the potential sale of up to 44,500 shares of the Company's common stock. The plan is set to expire on  August 14, 2026, or upon the earlier completion of all authorized transactions under the plan.

Item 6.   Exhibits

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See Exhibit Index.

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EXHIBIT INDEX

​

      Number 
           
      Description 

     3.1*
      
     Restated Certificate of Incorporation (filed as Exhibit 3.2 to the Registrant's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 12, 2025).

      ​ 

      3.2* 
      ​ 
      Amended and Restated Bylaws, as currently in effect (filed as Exhibit 3.2 to the Registrant’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 14, 2013). 

      ​ 

     3.3*
      
     Amendment No. 1 to the Amended and Restated Bylaws, as currently in effect (filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on April