Welcome to our dedicated page for Applied Optoelec SEC filings (Ticker: AAOI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Applied Optoelectronics, Inc. (NASDAQ: AAOI) SEC filings page brings together the company’s regulatory disclosures and material agreements as filed with the U.S. Securities and Exchange Commission. As a public issuer on the Nasdaq Global Market, AOI reports its business and financial condition through annual reports on Form 10-K, quarterly reports on Form 10-Q and current reports on Form 8-K, along with registration statements and related documents.
For a company in Semiconductor and Related Device Manufacturing and optical networking, these filings provide detail on revenue drivers in internet data centers, CATV, telecom and FTTH markets, as well as information about production capacity, capital investments and risk factors. Recent 8-K filings, for example, describe equity distribution agreements for at-the-market offerings of common stock, a loan and security agreement establishing a revolving credit facility, a revolving credit line and mortgage security agreement in China, and multiple lease agreements for manufacturing and operational facilities in Sugar Land, Texas, and New Taipei City.
AOI also uses Form 8-K to furnish earnings press releases that summarize quarterly results, non-GAAP financial measures and management’s outlook for its datacenter and CATV businesses. These filings explain how the company adjusts GAAP results to derive non-GAAP gross margin, net income (loss), earnings per share and Adjusted EBITDA, and they reference the underlying reconciliations.
On Stock Titan, SEC documents for AAOI are paired with AI-powered summaries that highlight key terms in lengthy filings, such as major credit facilities, lease commitments, equity distribution programs and changes in financial condition. Users can quickly scan new 10-K, 10-Q and 8-K reports, while also accessing insider transaction filings on Form 4 and other ownership disclosures as they become available through EDGAR. Real-time updates and plain-language explanations help investors and researchers understand how AOI’s regulatory filings relate to its optical networking and broadband access operations.
Applied Optoelectronics, Inc. Schedule 13G: Jane Street group reports beneficial ownership of 4,097,237 shares of Common Stock, representing 5.3% of the class as of 03/17/2026. The filing attributes shared voting and dispositive power across subsidiaries Jane Street Capital, Jane Street Options and Jane Street Global Trading.
The filing lists shared voting power and shared dispositive power of 4,097,237 shares and breaks holdings into subsidiary allocations: Jane Street Capital 1,864,091, Jane Street Global Trading 2,083,846, and Jane Street Options 149,300.
APPLIED OPTOELECTRONICS, INC. officer David C. Kuo reported an open‑market sale of 29,000 shares of common stock on March 19, 2026. The shares were sold at a weighted average price of $100.1276 per share, in multiple transactions priced between $100.00 and $100.44 per share.
Following these transactions, Kuo directly owns 82,663 shares of the company’s common stock. The filing notes that detailed information on each individual trade is available upon request from the reporting person, the company, the SEC staff, or a security holder.
AAOI affiliate reported resale transactions under Rule 144 by David Kuo, consisting of multiple open-market common stock dispositions. Sales listed: 12,500 shares on 12/23/2025 for $501,881.25; 12,000 shares on 01/28/2026 for $540,670.80; 2,533 shares on 02/10/2026 for $126,653.80; and 17,467 shares on 02/11/2026 for $876,251.00. The filing lists Raymond James & Associates as broker-dealer on the notice.
AAOI reporting a Form 144/A notice showing proposed sales of Common Stock by David Kuo. The excerpt lists three past sale dates and amounts: 12/23/2025 sold 12,500 shares for $501,881.25; 01/28/2026 sold 12,000 shares for $540,670.80; 02/10/2026 sold 2,533 shares for $126,653.80. The filing identifies the broker as Raymond James & Associates, Inc..
APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) sold 36,400 shares of common stock in an open-market transaction on March 16, 2026 at a weighted average price of $100.245 per share. The trades were executed at prices ranging from $100.00 to $100.80 per share.
After these sales, he directly holds 233,618 shares of common stock. The transactions were reported as routine open-market sales, with the weighted average price disclosed and full trade details available upon request as noted in the footnote.
Raymond James & Associates filed a Form 144 reporting a proposed sale of Common stock. The filing lists 36,400 shares, an associated figure of $3,648,918.00, and a referenced total of 75,198,817 shares with an entry date of 03/16/2026. The securities are listed on Nasdaq.
Applied Optoelectronics, Inc. amended its equity distribution agreement with Raymond James and Needham to expand its at-the-market common stock offering capacity to an aggregate offering price of $500 million.
As of March 12, 2026, the company had sold 2,476,307 shares for approximately $249,999,983 under the program and may sell an additional approximately $250,000,017. Sales are made from time to time through the agents on the Nasdaq Global Market and other permitted venues, with the agents earning a 2% commission on gross sales.
Applied Optoelectronics, Inc. amends its prospectus supplement to increase the size of an at-the-market equity program to permit the sale of up to $500,000,000 of common stock.
The amendment states that 2,476,307 shares have been sold for gross proceeds of approximately $249,999,983 under the sales agreement as of March 12, 2026, and that the company may sell additional shares for an aggregate offering price of approximately $250,000,017 through agents Raymond James and Needham. The shares will be offered from time to time in “at-the-market” offerings and the agents may receive commissions of up to 2.0%.
APPLIED OPTOELECTRONICS, INC. director Min-Chu (Mike) Chen reported open-market sales of 11,335 AAOI shares. He sold 8,835 directly owned common shares at a weighted average price of $108.7172 per share, with actual sale prices ranging from $105.50 to $110.20. Following this sale, he directly owns 169,300 common shares.
In a separate transaction, 2,500 indirectly owned shares held by his spouse, Yuh-Mei Chung, were sold at $97.00 per share, leaving 20,000 shares in that indirect holding. Chen disclaims beneficial ownership of shares held by his spouse except for any indirect pecuniary interest.
APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported an open-market sale of 50,000 shares of common stock on March 9, 2026 at a weighted average price of $97.0976 per share.
The shares were sold in multiple transactions within a price range of $94.670 to $99.332 per share under a pre-arranged Rule 10b5-1 trading plan adopted on December 9, 2025. Following these sales, the reporting person directly holds 322,051 shares of the company’s common stock.