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Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Whale Rock Capital Management | 0 | 0 | 0 | 0 | 0 | 0% |
| Alexander Sacerdote | 0 | 0 | 0 | 0 | 0 | 0% |
Follow Alex Sacerdote's Whale Rock Capital Management
Page 1 of 1 – SEC Filing
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13G
Under the Securities Exchange Act of 1934
(Amendment
No. 1)*
| Applied Optoelectronics, Inc. |
| (Name of Issuer) |
| Common Stock, $0.001 Par Value Per Share |
| (Title of Class of |
| 03823U102 |
| (CUSIP |
| May 19, 2017 |
| (Date of Event Which |
¨ Rule 13d-1(b)
ý Rule 13d-1(c)
¨ Rule 13d-1(d)
*The
remainder of this cover page shall be filled out for a reporting
person’s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The
information required in the remainder of this cover page shall not be
deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of
the Act (however, see the Notes).
| (1) | Names of Reporting Persons. | Whale Rock Capital Management LLC | ||||
| (2) | Check the Appropriate Box if a Member of a | (a) (b) | ||||
| (3) | SEC Use Only | |||||
| (4) | Citizenship or Place of Organization | DELAWARE | ||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | (5) | Sole Voting Power | 0 | |||
| (6) | Shared Voting Power | 0 | ||||
| (7) | Sole Dispositive Power | 0 | ||||
| (8) | Shared Dispositive Power | 0 | ||||
| (9) | Aggregate Amount Beneficially Owned by Each | 0 | ||||
| (10) | Check if the Aggregate | ¨ | ||||
| (11) | Percent of Class Represented by Amount in Row | 0% | ||||
| (12) | Type of Reporting Person (See Instructions) | OO | ||||
2
| (1) | Names of Reporting Persons. | Alexander Sacerdote | |||||
| (2) | Check the Appropriate Box if a Member of a | (a) (b) | |||||
| (3) | SEC Use Only | ||||||
| (4) | Citizenship or Place of Organization | UNITED | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | (5) | Sole Voting Power | 0 | ||||
| (6) | Shared Voting Power | 0 | |||||
| (7) | Sole Dispositive Power | 0 | |||||
| (8) | Shared Dispositive Power | 0 | |||||
| (9) | Aggregate Amount Beneficially Owned by Each | 0 | |||||
| (10) | Check if the Aggregate | ¨ | |||||
| (11) | Percent of Class Represented by Amount in Row | 0% | |||||
| (12) | Type of Reporting Person (See Instructions) | IN | |||||
3
Item
1(a). Name of Issuer:
Applied Optoelectronics, Inc.
Item
1(b). Address of Issuer’s Principal Executive Offices:
Applied Optoelectronics, Inc.
13115 Jess Pirtle Blvd.
Sugar Land, TX 77478
United States
Item
2(a). Names of Persons Filing:
Whale Rock Capital Management LLC (“Whale Rock”)
Alexander Sacerdote (“Alex Sacerdote”)
The
principal business address of each reporting person is: Two International Place, 24th Floor, Boston, MA 02110.
Item
2(c). Citizenship:
Reference
is made to Item 4 of pages 2–3 of this Schedule 13G (this “Schedule”),
which Items are incorporated by reference herein.
Item
2(d). Title of Class of Securities:
Common Stock, $0.001 Par Value Per Share
Item
2(e). CUSIP Number:
03823U102
Item
3. If this statement is filed pursuant to
§§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing
is a:
¨
(a) Broker or dealer registered under section 15 of
the Act (15 U.S.C. 78o).
¨
(b) Bank as defined in section 3(a)(6) of the Act (15
U.S.C. 78c).
¨
(c) Insurance company as defined in section 3(a)(19)
of the Act (15 U.S.C. 78c).
¨
(d) Investment company registered under section 8 of
the Investment Company Act of 1940 (15 U.S.C 80a-8).
ý
(e) An investment adviser in accordance with
§240.13d-1(b)(1)(ii)(E);
¨
(f) An employee benefit plan or endowment fund in
accordance with §240.13d-1(b)(1)(ii)(F);
¨
(g) A parent holding company or control person in
accordance with § 240.13d-1(b)(1)(ii)(G);
4
¨
(h) A savings associations as defined in Section 3(b)
of the Federal Deposit Insurance Act (12 U.S.C. 1813);
¨
(i) A church plan that is excluded from the
definition of an investment company under section 3(c)(14) of
the Investment Company Act of 1940 (15 U.S.C.
80a-3);
¨
(j) Group, in accordance with §240.13d-1(b)(1)(ii)(J).
Item
4. Ownership.
Not applicable.
Item
5. Ownership of Five Percent or Less of a
Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ].
Item
6. Ownership of More than Five Percent on
Behalf of Another Person.
Not applicable.
Item
7. Identification and Classification of
the Subsidiary Which Acquired the Security Being Reported on By the
Parent Holding Company
Not
Applicable.
5
Item
8. Identification and Classification of
Members of the Group
Not
Applicable.
Item
9. Notice of Dissolution of Group
Not
Applicable.
Item
10. Certification
By
signing below the undersigned certify that, to the best of their
knowledge and belief, the securities referred to above were acquired
and are held in the ordinary course of business and were not acquired
and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not
acquired and are not held in connection with or as a participant in any
transaction having that purpose or effect.
Signature
After
reasonable inquiry and to the best of my knowledge and belief, the
undersigned certifies that the information set forth in this statement
is true, complete and correct.
