APPLIED OPTOELECTRONICS, INC.
For the period ended Dec 31, 2025. Filed Feb 26, 2026.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2025 · Filed Feb 26, 2026
AAOI$52.10+3.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 16. Form 10-K Summary
None.
EXHIBIT INDEX
| Incorporated By Reference | ||||||
|---|---|---|---|---|---|---|
| Number · Exhibit Description · Form · File No. · Exhibit · Filing Date | ||||||
| 3.1 | Restated Certificate of Incorporation | 8-K | 001-36083 | 3.2 | June 12, 2025 | |
| 3.2 | Amended and Restated Bylaws of the registrant, as currently in effect | 10-Q | 001-36083 | 3.2 | November 14, 2013 | |
| 3.3 | Amendment No. 1 to the Amended and Restated By-laws of Applied Optoelectronics, Inc. | 8-K | 001-36083 | 3.1 | April 2, 2025 | |
| 4.1 | Common Stock Specimen | 8-K | 001-36083 | 4.1 | November 14, 2016 | |
| 4.2 | Indenture, dated as of December 23, 2024, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as Trustee | 8-K | 001-36083 | 4.1 | December 23, 2024 | |
| 4.3 | Form of 2.750% Convertible Senior Note due 2030 | 8-K | 001-36083 | 4.1 Exhibit A | December 23, 2024 | |
| 4.4 | First Supplemental Indenture, dated as of December 23, 2024, between Applied Optoelectronics, Inc. and Computershare Trust Company, N.A., as Trustee | 8-K | 001-36083 | 4.3 | December 23, 2024 | |
| 4.5 | Warrant to Purchase Common Stock of Applied Optoelectronics, Inc. by and between Applied Optoelectronics, Inc. and Amazon.com NV Investment Holdings LLC, dated as of March 13, 2025 | 8-K | 001-36083 | 4.1 | March 13, 2025 | |
| 4.6 | * | Description of the Company's Common Stock | ||||
| Incorporated By Reference | ||||||
|---|---|---|---|---|---|---|
| Number · Exhibit Description · Form · File No. · Exhibit · Filing Date | ||||||
| 10.1 | † | Form of Indemnification Agreement between the registrant each of its Directors and certain of its Executive Officers | S-1 | 333-190591 | 10.1 | August 13, 2013 |
| 10.2 | † | Amended and Restated 2021 Equity Incentive Plan | S-8 | 333-286464 | 99.1 | April 10, 2025 |
| 10.2.1 | † | Form of Restricted Stock Unit Award Agreement under 2021 Equity Incentive Plan | 10-Q | 001-36083 | 10.4.1 | August 5, 2021 |
| 10.2.2 | † | Form of Performance Restricted Stock Unit Award Agreement under 2021 Equity Incentive Plan | 10-Q | 001-36083 | 10.4.2 | August 5, 2021 |
| 10.3 | † | Applied Optoelectronic, Inc. 2023 Equity Inducement Plan | 10-Q | 001-36083 | 10.1 | November 9, 2023 |
| 10.4 | † | Amended and Restated Employment Agreement regarding Change of Control or Separation of Service between the registrant and Chih-Hsiang (Thompson) Lin, dated April 16, 2013 | S-1 | 333-190591 | 10.12.1 | August 13, 2013 |
| 10.5 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and Stefan J. Murry | 10-Q/A | 001-36083 | 10.20 | August 9, 2016 |
| 10.6 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and Mr. Joshua Yeh | 10-Q/A | 001-36083 | 10.21 | August 9, 2016 |
| 10.7 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and Dr. Fred Chang | 10-Q/A | 001-36083 | 10.22 | August 9, 2016 |
| 10.8 | † | Employment Agreement, dated August 5, 2016, between Applied Optoelectronics, Inc. and David C. Kuo | 10-K | 001-36083 | 10.9 | February 28, 2018 |
| 10.9 | Translation of Lease Agreement between Global Technology, Inc. and the People’s Republic of China in Zhejiang Province, Ningbo City, Land Resources Bureau | 10-K | 001-36083 | 10.30 | February 28, 2018 | |
| 10.10 | Statement of Work No. 1 – Foundry between Applied Optoelectronics, Inc. and Microsoft Corporation, effective December 16, 2022 | 8-K | 001-36083 | 10.1 | May 3, 2023 | |
| 10.10.1 | Microsoft Corporation Purchase Order Terms & Conditions (included as Appendix C to Exhibit 10.10) | 8-K | 001-36083 | 10.1 (Appendix C) | May 3, 2023 | |
| Incorporated By Reference | |||||
| Number | Exhibit Description | Form | File No. | Exhibit | Filing Date |
|---|---|---|---|---|---|
| 10.11 | Statement of Work No. 2 – Design and Assembly, between Applied Optoelectronics, Inc. and Microsoft Corporation, effective June 21, 2023 | 8-K | 001-36083 | 10.1 | June 21, 2023 |
| 10.11.1 | Microsoft Corporation Purchase Order Terms & Conditions (included as Appendix J to Exhibit 10.11) | 8-K | 001-36083 | 10.1 (Appendix C) | June 21, 2023 |
| 10.12 | Translation of the Land and Building Lease Agreement, dated October 7, 2024, between Prime World International Holdings Ltd., Taiwan Branch and San Ho Enterprise Co., Ltd. | 8-K | 001-36083 | 10.1 | October 10, 2024 |
| 10.13 | Form of Exchange Agreement, dated December 18, 2024, between Applied Optoelectronics, Inc. and the applicable Noteholders | 8-K | 001-36083 | 10.1 | December 20, 2024 |
| 10.14 | Transaction Agreement, by and between Applied Optoelectronics, Inc. and Amazon.com, Inc., dated as of March 13, 2025 | 8-K | 001-36083 | 10.1 | March 13, 2025 |
| 10.15 | Lease, dated April 3, 2025, between Applied Optoelectronics, Inc. and Albany Road-Breck Exchange, LLC | 8-K | 001-36083 | 10.1 | April 9, 2025 |
| 10.16 | Translation of the Land and Building Lease Agreement, dated June 7, 2025, between Prime World International Holdings Ltd., Taiwan Branch and San Ho Electric Machinery Industry Co., Ltd. | 8-K | 001-36083 | 10.1 | June 11, 2025 |
| 10.17 | Translation of the RMB Working Capital Loan Contract (RMB 96,800,000), between Global Technology, Inc. and China Construction Bank Co., Ltd., dated June 12, 2025 | 8-K | 001-36083 | 10.1 | June 18, 2025 |
| 10.18 | Translation of the Maximum Loan (Credit) Contract (Credit Line Agreement), dated June 26, 2025, between Global Technology, Inc. and China Construction Bank Co., Ltd. | 8-K | 001-36083 | 10.1 | July 1, 2025 |
| 10.18.1 | Translation of the Maximum Mortgage Contract (Security Agreement), dated June 26, 2025, between Global Technology, Inc. and China Construction Bank Co., Ltd. | 8-K | 001-36083 | 10.2 | July 1, 2025 |
| 10.19 | Translation of the Working Capital Loan Contract (RMB82,000,000), between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd., dated July 18, 2025 | 8-K | 001-36083 | 10.1 | July 23, 2025 |
| Incorporated By Reference | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | File No. | Exhibit | Filing Date |
| 10.20 | Translation of the Financing Credit Line Agreement, dated July 29, 2025, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. | 8-K | 001-36083 | 10.1 | August 4, 2025 |
| 10.20.1 | Translation of the Maximum Mortgage Contract (Security Agreement), dated July 29, 2025, between Global Technology, Inc. and Shanghai Pudong Development Bank Co., Ltd. | 8-K | 001-36083 | 10.2 | August 4, 2025 |
| 10.21 | Loan and Security Agreement, dated July 31, 2025, between Applied Optoelectronics, Inc. and BOKF, NA dba BOK Financial | 8-K | 001-36083 | 10.1 | August 6, 2025 |
| 10.21.1 | Revolving Note, dated July 31, 2025, between Applied Optoelectronics, Inc. and BOKF, NA dba BOK Financial | 8-K | 001-36083 | 10.2 | August 6, 2025 |
| 10.22 | Translation of the Agreement to Terminate Land and Building Lease dated August 20, 2025, between Prime World International Holdings Ltd., and San Ho Electric Machinery Industry Co., Ltd. | 8-K | 001-36083 | 10.1 | August 26, 2025 |
| 10.23 | Translation of the Premises Lease Agreement, dated September 1, 2025, between Prime World International Holdings Ltd., Taiwan Branch and International Games System Co., Ltd. | 8-K | 001-36083 | 10.1 | September 4, 2025 |
| 10.24 | Lease Agreement, dated September 19, 2025, by and between Applied Optoelectronics, Inc., and Coleman Logistics Assets, LLC | 8-K | 001-36083 | 10.1 | September 24, 2025 |
| 10.25 | Translation of the Premise Lease Agreement, dated October 28, 2025, between Prime World International Holdings Ltd., Taiwan Branch and International Games System Co., Ltd. | 8-K | 001-36083 | 10.1 | November 3, 2025 |
| 10.26 | Translation of the Approval Notice of Credit Line, dated October 20, 2025 | 8-K | 001-36083 | 10.1 | December 3, 2025 |
| 10.26.1 | Translation of the General Agreement for Financial Transaction, dated November 27, 2025, between Prime World International Holdings Ltd. and Taishin International Bank | 8-K | 001-36083 | 10.2 | December 3, 2025 |
| 10.26.2 | Translation of the Loan Agreement, dated November 27, 2025, between Prime World International Holdings Ltd. and Taishin International Bank | 8-K | 001-36083 | 10.3 | December 3, 2025 |
| 10.26.3 | Translation of the Promissory Note, dated November 27, 2025, between Prime World International Holdings Ltd. and Taishin International Bank | 8-K | 001-36083 | 10.4 | December 3, 2025 |
| Incorporated By Reference | ||||||
|---|---|---|---|---|---|---|
| Number · Exhibit Description · Form · File No. · Exhibit · Filing Date | ||||||
| 19 | Applied Optoelectronics, Inc. Insider Trading Policy and Guidelines | 10-K | 001-36083 | 19 | February 28, 2025 | |
| 21 | Subsidiaries of the registrant | S-1 | 333-190591 | 21.1 | August 13, 2013 | |
| 23.1 | * | Consent of Grant Thornton LLP | ||||
| 31.1 | * | Certification of Principal Executive Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of The Sarbanes-Oxley Act of 2002. | ||||
| 31.2 | * | Certification of Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of The Sarbanes-Oxley Act of 2002. | ||||
| 32.1 | * | Certification of Principal Executive Officer and Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. §1350 as adopted pursuant to Section 906 of The Sarbanes-Oxley Act of 2002. | ||||
| 97 | Compensation Recovery Policy | 10-K | 001-36083 | 97 | February 23, 2024 | |
| 101.INS | Inline XBRL Instance Document | |||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | |||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | |||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | |||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | |||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | |||||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | |||||
- Filed herewith.
† Management contract, compensatory plan or arrangement.
** Confidential Treatment has been granted for portions of this document.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.