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. has changed its independent auditor, dismissing Grant Thornton LLP and appointing PricewaterhouseCoopers LLP for the fiscal year ending December 31, 2026. Grant Thornton will still review the company’s consolidated financial statements for the quarter ending March 31, 2026.
Grant Thornton’s audit reports for the years ended December 31, 2024 and 2025 contained no adverse opinions, disclaimers, or qualifications, and there were no disagreements or reportable events under Regulation S‑K. A previously disclosed material weakness in controls over review of technical accounting analysis was remediated as of December 31, 2025.
Applied Optoelectronics reported strong top-line growth but remained unprofitable for the quarter ended March 31, 2026. Revenue rose to $151.1 million from $99.9 million, driven mainly by data center products, which more than doubled to $81.4 million and reached over half of total sales.
Gross profit increased to $43.9 million, though gross margin slipped to 29.1% from 30.6% as costs scaled with higher volume. Operating expenses climbed to $56.9 million, led by higher R&D and general and administrative spending to support growth, resulting in a net loss of $14.3 million versus a $9.2 million loss a year earlier.
Liquidity strengthened significantly: the company closed a public equity offering that added about $382.4 million of capital, lifting cash, cash equivalents and restricted cash to $449.4 million. AOI also detailed its $125 million 2.75% convertible notes due 2030 and maintained $61.7 million of unused borrowing capacity, while investing heavily in property, plant and equipment to expand manufacturing.
Applied Optoelectronics reported strong Q1 2026 growth but remained unprofitable. Revenue reached $151.1 million, up from $99.9 million a year earlier, driven by demand in both datacenter and CATV segments. Datacenter revenue rose to $81.4 million and CATV revenue to $66.8 million.
The company posted a GAAP net loss of $14.3 million, or $0.19 per share, and a non-GAAP net loss of $4.9 million. Adjusted EBITDA improved to $1.0 million. Cash, cash equivalents and restricted cash increased to $449.4 million. For Q2 2026, AOI expects revenue of $180–$198 million and non-GAAP gross margin of 29%–30%, with non-GAAP net results ranging from a $2.5 million loss to $2.8 million profit.
Applied Optoelectronics Inc reports that Invesco Ltd. amended its Schedule 13G to state it may be deemed to beneficially own 2,014,405 shares of Common Stock, representing 2.7% of the class. The filing breaks out voting and dispositive powers: 1,943,971 shares with sole voting power and 2,014,405 shares with sole dispositive power. The amendment lists affiliated investment managers (Invesco Advisers, Inc., Invesco Capital Management LLC) and is signed by Robert R. Leveille on 05/06/2026.
Applied Optoelectronics, Inc. (AAOI) is asking stockholders at its June 4, 2026 annual meeting to elect two Class I directors, ratify Grant Thornton LLP as auditor for 2026, approve an advisory say-on-pay vote, amend its certificate of incorporation to clarify future voting standards, approve a 2026 equity incentive plan, and permit adjournment if needed. The proxy highlights a classified, majority-independent board with a lead independent director and fully independent key committees. Executive pay is heavily performance-based: in 2025 the CEO’s target direct compensation of $7.43M was about 90% variable, using annual cash incentives tied to revenue, non-GAAP operating income, and design wins, plus PSUs linked to three-year relative and absolute TSR and RSUs for retention. 2025 revenue reached $455.7M versus a $375M target, contributing to a 104.79% annual bonus funding outcome. Stockholders previously supported say-on-pay with 97.45% of votes cast. Audit fees to Grant Thornton were $1.82M in 2025. The filing also emphasizes succession planning, a clawback policy, stock ownership guidelines, and limits on perquisites.
APPLIED OPTOELECTRONICS, INC. President and CEO Chih-Hsiang (Thompson) Lin reported several compensation-related share dispositions tied to tax withholding, not open-market trading. On April 22, 2026, a total of 16,672 shares of common stock were surrendered back to the company at $150.57 per share to satisfy tax-withholding obligations upon the vesting of four restricted stock unit awards granted between June 26, 2023 and February 9, 2026. After these transactions, Lin continues to hold approximately 1,695,946 shares of common stock directly.
APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) reported routine share dispositions tied to tax withholding. On April 22, 2026, he surrendered a total of 5,140 shares of common stock at $150.57 per share to the company to cover tax obligations on vesting restricted stock units granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.
These F‑code transactions are tax-withholding dispositions, not open‑market sales, and reflect compensation-related mechanics. After these entries, Chang directly holds 230,678 shares of common stock.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported routine share dispositions tied to equity compensation taxes. On April 22, 2026, he surrendered a total of 5,944 shares of common stock at $150.57 per share to the company to satisfy tax-withholding obligations upon the vesting of several restricted stock unit awards granted between June 26, 2023 and February 9, 2026. After these tax-withholding transactions, he directly holds 272,804 shares, indicating these were compensation-related, not open-market sales.
APPLIED OPTOELECTRONICS, INC. officer David C. Kuo reported routine tax-related share dispositions. On April 22, 2026, he surrendered a total of 3,585 shares of common stock at $150.57 per share to the company to cover tax-withholding obligations tied to vesting restricted stock units granted in 2023, 2024, 2025, and 2026. These Form 4 transactions (code F) reflect compensation-related tax payments rather than open-market stock sales, and Kuo continues to hold a direct equity position in the company.