2,700,000 Shares APPLIED OPTOELECTRONICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 14th, 2014 • 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 2,700,000 shares of the Company’s Common Stock, par value $0.001 per share (the “Common Stock), of which (a) 1,275,235 shares are to be issued and sold by the Company, and (b) 1,424,765 shares are to be sold by the Selling Stockholders, each Selling Stockholder selling the number of shares set forth opposite such Selling Stockholder’s name in Schedule II hereto. The aggregate of 2,700,000 shares to be purchased from the Company and the Selling Stockholders are called the “Firm Shares.” In addition, the Company has agreed to sell to the Und
