AAOI offering history
Every offering-related filing in APPLIED OPTOELECTRONICS, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Sep 22, 2017.
| Date | Filing | What it means | |
|---|---|---|---|
| May 14, 2026 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 12, 2026 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Feb 26, 2026 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 7, 2025 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Aug 27, 2025 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| May 28, 2025 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Apr 25, 2025 | 424B7 → | UPDATE | Resale prospectus — existing holders registering to sell |
| Mar 13, 2025 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Feb 28, 2025 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 23, 2024 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Dec 20, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 20, 2024 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Dec 18, 2024 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Dec 18, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Nov 7, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Aug 6, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 13, 2024 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Dec 5, 2023 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Dec 1, 2023 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Sep 13, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Aug 3, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 24, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 21, 2023 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Mar 13, 2023 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Feb 21, 2023 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Jan 5, 2023 | S-3 → | REGISTERED | S-3 registration — capacity to sell shares, not a sale yet |
| Feb 25, 2021 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Feb 28, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Jan 9, 2020 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Dec 12, 2019 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Nov 20, 2019 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Oct 24, 2019 | S-3 → | REGISTERED | S-3 registration — capacity to sell shares, not a sale yet |
| Mar 5, 2019 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.
AAOI offering FAQ
When did AAOI last execute an offering?
Per SEC filings, APPLIED OPTOELECTRONICS, INC.'s most recent priced offering document is a 424B5 filed 2026-05-14. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did AAOI last announce or register an offering?
The most recent registration is a S-3ASR filed 2024-12-18. A registration is capacity to sell shares — not a sale.
Does an offering always mean dilution?
Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.