Welcome to our dedicated page for APPLIED OPTOELECTRONICS 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.
Applied Optoelectronics, Inc. filings document the operations, governance and capital structure of a Nasdaq-listed manufacturer of optical and HFC networking products. Its Form 8-K reports cover operating and financial results, changes in the certifying accountant, material definitive agreements, and financing arrangements tied to common stock issuance.
Proxy materials describe board elections, auditor ratification, advisory executive compensation votes, certificate-of-incorporation amendments, and equity incentive plan matters. Other material-event filings address agreements supporting manufacturing infrastructure, including cleanroom design-build work, and identify the company’s common stock registered on the Nasdaq Global Market.
APPLIED OPTOELECTRONICS, INC. (AAOI) director Richard B. Black reported a bona fide gift of 2,200 shares of common stock on September 15, 2026. The gift was made from The Richard B. Black Revocable Trust to a 501(c)(3) non-profit organization, and is reported as an indirect disposition by trust.
After the transaction, the trust’s indirect holdings are 159,092 shares, while Black also holds 4,237 shares directly. The shares in the trust are held in a revocable living trust of which he is the sole trustee and beneficial owner, and no Rule 10b5-1 trading plan is reported.
Applied Optoelectronics, Inc. (AAOI), through its wholly owned subsidiary Global Technology, Inc., entered into a Factory Premises Lease Agreement with Ningbo Yiduofu Industrial Co., Ltd. for a manufacturing building of approximately 38,311.8 square meters in Ningbo, China. The lease runs for 10 years, from September 16, 2026 to September 15, 2036, with an annual rent of RMB 6,896,124, subject to 3% increases every three years beginning in the third lease year. Global Technology receives a three‑month rent-free renovation period after delivery and may make alterations and improvements at its own expense. The subsidiary also holds a right of first refusal to purchase the property if the owner sells, a right to keep the lease binding on any purchaser or transferee, and a right of first refusal to renew on terms no less favorable than those offered to other prospective tenants, while the lessor is generally restricted from early termination except in specified cases such as force majeure or material breach.
APPLIED OPTOELECTRONICS, INC. (AAOI) reported that senior vice president and North America general manager Chang Hung-Lun (Fred) sold 32,172 shares of common stock on September 8, 2026 in an open-market or private transaction at a weighted average price of $110.21 per share, with actual prices ranging from $110.00 to $110.76. After this sale, he directly holds 249,276 shares of AAOI common stock, and no Rule 10b5-1 trading plan is reported.
APPLIED OPTOELECTRONICS, INC. (AAOI) reported that Chief Financial Officer Stefan J. Murry sold 4,000 shares of common stock on September 10, 2026 at a weighted average price of $105.33 per share, in open-market transactions under a Rule 10b5-1 trading plan adopted on August 12, 2025. The shares were sold in multiple trades at prices ranging from $104.60 to $105.98 per share, and Murry continues to hold 367,168 shares directly after this transaction.
Applied Optoelectronics, Inc. (AAOI) entered into a Purchase and Sale Agreement with Blue Ridge Commerce Center West LLC to acquire a real estate property in Houston, Texas, in connection with exercising a one-time purchase option under a prior lease. The property at 16851 Blue Ridge Commerce Dr., Building 3, consists of approximately 8.858 acres of land and an approximately 153,928 rentable-square-foot building, plus related personal property. The company paid an aggregate cash purchase price of $26,783,472 at closing on September 4, 2026, and received the property by special warranty deed, subject to permitted encumbrances. Applied Optoelectronics plans to use the facility for office, warehouse, light manufacturing and assembly purposes.
APPLIED OPTOELECTRONICS, INC. (AAOI) is the issuer of common stock covered by a Rule 144 notice filed for the account of officer Stefan J. Murry. The notice lists a proposed sale of 4,000 shares of AAOI common stock through Raymond James & Associates on NASDAQ.
The filing also reports that Stefan Murry sold 4,000 shares of AAOI common stock on July 10, 2026 and 4,000 shares on August 10, 2026. AAOI had 84,906,289 shares outstanding of common stock as of the date referenced in the notice.
APPLIED OPTOELECTRONICS, INC. (AAOI) officer Chang Hung-Lun (Fred) filed a Rule 144 notice covering a proposed sale of 32,172 shares of common stock through Raymond James & Associates on Nasdaq. The notice also lists prior sales over the last three months totaling 74,329 shares of AAOI common stock.
Applied Optoelectronics, Inc. (AAOI) entered into two long-term industrial leases with Hightower Phase II Owner, LLC for newly constructed Buildings 4 and 5 in Houston, Texas, for light manufacturing, warehouse and related uses. Substantial completion is anticipated about 16 months after the August 31, 2026 lease date, with each lease running an initial term of 120 full calendar months from commencement.
Building 4 comprises approximately 356,186 rentable square feet, with monthly basic rent starting at $220,835.32 and rising to $307,582.40 in Lease Months 109–120. Building 5 comprises approximately 737,621 rentable square feet, with monthly basic rent starting at $457,325.02 and rising to $636,968.43 in Lease Months 109–120. AAOI must provide aggregate security deposits of $11.3 million and pay about $2.55 million for structural-steel design modifications for potential future rooftop solar panels.
AAOI holds an option to purchase Buildings 4 and 5 together for an aggregate $146,570,138, subject to limited upward adjustment at $134 per square foot, with any aggregate increase capped at 1%. The leases include delivery, casualty, condemnation and Phase I–linked termination rights, as well as customary operating cost, insurance, assignment, sublease, and default provisions.
Applied Optoelectronics, Inc. (AAOI) reports that its Board of Directors approved and adopted an updated form of indemnification agreement for directors and certain executive officers. This new agreement will replace and supersede existing indemnification agreements and will also be used for future directors and applicable executive officers.
The updated agreement is intended to reflect current market indemnification practices and the company’s governance documents, provide greater clarity and reduce uncertainty regarding indemnification and expense advancement rights, and address matters related to directors’ and officers’ liability insurance coverage. It generally provides indemnification to the fullest extent permitted by the company’s bylaws and applicable law and includes advancement of expenses, such as attorneys’ fees, for proceedings arising from service to the company or, at its request, to other entities, subject to specified terms and limitations.
Applied Optoelectronics, Inc. (AAOI) entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. and Needham & Company, LLC that allows the company to issue and sell shares of its common stock with an aggregate offering price of up to $600 million from time to time.
Sales will be made through the sales agents as “at the market” offerings under Rule 415 on the Nasdaq Global Market or other existing trading markets, based on placement notices specifying share limits, time periods and minimum prices. The company is not obligated to sell any shares and may suspend or terminate the program at any time.
The sales agents will receive 2% of the gross sales price of shares sold and may be reimbursed for certain expenses under specified caps. The shares are registered under an automatic shelf registration statement on Form S-3ASR and a related prospectus supplement filed on August 21, 2026.