Shares APPLIED OPTOELECTRONICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 11th, 2013 • Applied Optoelectronics, Inc. • Semiconductors & related devices • New York
Applied Optoelectronics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), and certain stockholders of the Company named in Schedule II hereto (the “Selling Stockholders”) severally and not jointly propose, subject to the terms and conditions stated herein, to sell to the Underwriters, an aggregate of shares of the Company’s Common Stock, par value $0.001 per share (the “Common Stock), all of which are to be issued and sold by the Company (the “Firm Shares”). In addition, the Selling Stockholders have agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any, with each Selling Stockholder selling up to the number of shares set forth opposite such Selling Stockholder’s name in Schedule II hereto
TENTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENTLoan and Security Agreement • September 11th, 2013 • Applied Optoelectronics, Inc. • Semiconductors & related devices
This Tenth Amendment to Amended and Restated Loan and Security Agreement is entered into as of September 10, 2013 (the “Amendment”), by and between APPLIED OPTOELECTRONICS, INC. (“Borrower”) and EAST WEST BANK (“Bank”).
