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13G Filing: Whale Rock Capital Management and Applied Optoelectronics Inc. (AAOI)

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
Whale Rock Capital Management 0 0 0 0 0 0%
Alexander Sacerdote 0 0 0 0 0 0%
Alex Sacerdote
Alex Sacerdote
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
Securities)

03823U102

(CUSIP
Number)

May 19, 2017

(Date of Event Which
Requires Filing of this Statement)

¨ 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
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

0

(7)

Sole Dispositive Power

0

(8)

Shared Dispositive Power

0

(9)

Aggregate Amount Beneficially Owned by Each
Reporting Person

0

(10)

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

¨

(11)

Percent of Class Represented by Amount in Row
(9)

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
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

0

(7)

Sole Dispositive Power

0

(8)

Shared Dispositive Power

0

(9)

Aggregate Amount Beneficially Owned by Each
Reporting Person

0

(10)

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

¨

(11)

Percent of Class Represented by Amount in Row
(9)

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.

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