UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
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FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
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(Exact name of Registrant as specified in its charter)
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(address of principal executive offices and zip code)
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
Applied Optoelectronics, Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders on June 4, 2020. Holders of an aggregate of 20,253,879 shares of the Company’s common stock at the close of business on April 9, 2020 were entitled to vote at the meeting, of which 14,823,757 or 73.18%, of the eligible shares were represented in person or by proxy. The matters voted upon at the meeting and the results of those votes were as follows:
Proposal 1: Election of Class I Directors
| Votes For | Votes Withheld | Broker Non-Votes | ||||
| Che-Wei Lin | 4,380,775 | 2,087,574 | 8,355,408 | |||
| Elizabeth Loboa | 6,201,210 | 267,139 | 8,355,408 |
Proposal 2: Ratification of the appointment of Grant Thornton LLP as independent registered public accounting firm for the fiscal year ending December 31, 2020.
|
Votes For |
Votes Against |
Votes Abstaining | ||
| 12,887,943 | 548,848 | 590,330 |
Proposal 3: To approve, on an advisory basis, our executive compensation, or the say-on-pay vote.
|
Votes For |
Votes Against |
Votes Abstaining |
Broker Non-Votes | |||
| 2,062,269 | 3,517,173 | 92,271 | 8,355,408 |
| Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits
| 104 | Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document). |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Applied Optoelectronics, Inc. | ||
| By: | /s/ DAVID C. KUO | |
| David C. Kuo General Counsel and Secretary | ||
Date: June 4, 2020
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