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David E. Shaw

You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
D. E. Shaw Co. 0 949,364 0 949,364 949,364 5.1%
David E. Shaw 0 949,364 0 949,364 949,364 5.1%
David E. Shaw
David E. Shaw
D E Shaw

Page 1 of 6 – SEC Filing

SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

Applied Optoelectronics, Inc.

(Name of Issuer)

Common Stock, Par value $0.001

(Title of Class of Securities)

 

 

03823U102

(CUSIP Number)

 

 

April 13, 2017

(Date of Event Which Requires Filing of
this Statement)

Check the following box to designate the rule pursuant to which
the Schedule is filed:

¨ Rule 13d-1(b)
x 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).

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Page 2 of 6 – SEC Filing

CUSIP No. 03823U102

1.

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

D. E. Shaw & Co., L.P.

13-3695715

2. Check the Appropriate Box if a Member of a Group (See Instructions)
(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

949,364

7.

Sole Dispositive Power

-0-

8.

Shared Dispositive Power

949,364

9.

Aggregate Amount Beneficially Owned by Each Reporting Person

949,364

10.

Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions) [     ]

11.

Percent of Class Represented by Amount in Row (9)

5.1%

12.

Type of Reporting Person (See Instructions)

IA, PN

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Page 3 of 6 – SEC Filing

CUSIP No. 03823U102

1.

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

David E. Shaw

2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [     ]

(b)

[     ]
3.

SEC Use Only

4.

Citizenship or Place of Organization

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person With

5.

Sole Voting Power

-0-

6.

Shared Voting Power

949,364

7.

Sole Dispositive Power

-0-

8.

Shared Dispositive Power

949,364

9.

Aggregate Amount Beneficially Owned by Each Reporting Person

949,364

10.

Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions) [     ]

11.

Percent of Class Represented by Amount in Row (9)

5.1%

12.

Type of Reporting Person (See Instructions)

IN

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Page 4 of 6 – SEC Filing

Item 1.
(a) Name of Issuer
Applied Optoelectronics, Inc.
(b) Address of Issuer’s Principal Executive Offices

13139 Jess Pirtle Blvd.

Sugar Land, TX 77478

Item 2.
(a) Name of Person Filing

D. E. Shaw & Co., L.P.

David E. Shaw

(b) Address of Principal Business Office or, if none, Residence

The business address for each reporting person is:

1166 Avenue of the Americas, 9th Floor

New York, NY 10036

(c) Citizenship

D. E. Shaw & Co., L.P. is a limited partnership organized
under the laws of the state of Delaware.

David E. Shaw is a citizen of the United States of America.

(d) Title of Class of Securities
Common Stock, Par value $0.001
(e) CUSIP Number
03823U102
Item 3.

If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b)
or (c), check whether the person filing is a:

Not Applicable

Item 4.

Ownership

As of April 13, 2017:

(a) Amount beneficially owned:

D. E. Shaw & Co., L.P.:

949,364 shares

This is composed of (i) 580,569 shares in the name
of D. E. Shaw Valence Portfolios, L.L.C., (ii) 20,000 shares that D. E. Shaw Valence Portfolios, L.L.C. has the right
to acquire through the exercise of listed call options, (iii) 342,867 shares in the name of D. E. Shaw Oculus Portfolios,
L.L.C., (iv) 1,019 shares in the name of D. E. Shaw Asymptote Portfolios, L.L.C., (v) 100 shares in the name of D. E. Shaw Heliant
Capital, L.L.C., and (vi) 4,809 shares under the management of D. E. Shaw Investment Management, L.L.C.

David E. Shaw:

949,364 shares

This is composed of (i) 580,569 shares in the name of D. E.
Shaw Valence Portfolios, L.L.C., (ii) 20,000 shares that D. E. Shaw Valence Portfolios, L.L.C. has the right to acquire through
the exercise of listed call options, (iii) 342,867 shares in the name of D. E. Shaw Oculus Portfolios, L.L.C., (iv) 1,019 shares
in the name of D. E. Shaw Asymptote Portfolios, L.L.C., (v) 100 shares in the name of D. E. Shaw Heliant Capital, L.L.C., and (vi)
4,809 shares under the management of D. E. Shaw Investment Management, L.L.C.

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Page 5 of 6 – SEC Filing

(b) Percent of class:
D. E. Shaw & Co., L.P.: 5.1%
David E. Shaw: 5.1%

(c) Number of shares to which the person has:
(i) Sole power to vote or to direct the vote:
D. E. Shaw & Co., L.P.: -0- shares
David E. Shaw: -0- shares   
(ii) Shared power to vote or to direct the vote:
D. E. Shaw & Co., L.P.: 949,364 shares     
David E. Shaw: 949,364 shares   
(iii) Sole power to dispose or to direct the disposition
of:
D. E. Shaw & Co., L.P.: -0- shares   
David E. Shaw: -0- shares   
(iv) Shared power to dispose or to direct the disposition
of:
D. E. Shaw & Co., L.P.: 949,364 shares   
David E. Shaw: 949,364 shares   

David E. Shaw does not own any shares directly. By virtue
of David E. Shaw’s position as President and sole shareholder of D. E. Shaw & Co., Inc., which is the
general partner of D. E. Shaw & Co., L.P., which in turn is the manager and investment adviser of
D. E. Shaw Valence Portfolios, L.L.C., the investment adviser of D. E. Shaw Oculus Portfolios, L.L.C.,
and the managing member of (i) D. E. Shaw Investment Management, L.L.C., (ii) D. E. Shaw Adviser, L.L.C.,
which in turn is the investment adviser of D. E. Shaw Asymptote Portfolios, L.L.C., and (iii) D. E. Shaw Heliant
Adviser, L.L.C., which in turn is the investment adviser of D. E. Shaw Heliant Capital, L.L.C., and by virtue of
David E. Shaw’s position as President and sole shareholder of D. E. Shaw & Co. II, Inc., which is the
managing member of D. E. Shaw & Co., L.L.C., which in turn is the manager of D. E. Shaw Oculus
Portfolios, L.L.C. and the managing member of (i) D. E. Shaw Manager, L.L.C., which in turn is the manager of
D. E. Shaw Asymptote Portfolios, L.L.C., and (ii) D. E. Shaw Heliant Manager, L.L.C., which in turn is
the manager of D. E. Shaw Heliant Capital, L.L.C., David E. Shaw may be deemed to have the shared power to vote or
direct the vote of, and the shared power to dispose or direct the disposition of, the 949,364 shares as described
above constituting 5.1% of the outstanding shares and, therefore, David E. Shaw may be deemed to be the beneficial owner of
such shares. David E. Shaw disclaims beneficial ownership of such 949,364 shares.

Item 5. Ownership of Five Percent or Less of a Class

Not Applicable

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 or Control Person.

Not Applicable

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, each of D. E. Shaw & Co., L.P.
and David E. Shaw certify that, to the best of such reporting person’s knowledge and belief, the securities referred to above
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 such purposes
or effect.

 

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Page 6 of 6 – SEC Filing

SIGNATURE

After reasonable inquiry and to the best of their knowledge
and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. A Power of
Attorney, dated March 1, 2017, granted by David E. Shaw in favor of Nathan Thomas, is attached hereto.

Dated: April 24, 2017

D. E. Shaw & Co., L.P.
By: /s/ Nathan Thomas
Nathan Thomas
Chief Compliance Officer
David E. Shaw
By: /s/ Nathan Thomas
Nathan Thomas
Attorney-in-Fact for David E. Shaw
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