STOCK TITAN

[8-K] Applied Optoelectronics, Inc. Reports Material Event

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
8-K
Rhea-AI Filing Summary

Ford Motor Company (symbol: F) has filed a Form 144 indicating the proposed sale of 30,000 common shares under Rule 144 of the Securities Act of 1933. The shares will be sold through UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010, with an aggregate market value of $330,000. The approximate sale date disclosed is 07/01/2025, and the shares are to be listed on the NYSE.

The filing shows that the seller originally acquired the shares via three restricted-stock unit (RSU) vesting events on 03/02/2021 (5,424 shares), 03/04/2022 (13,949 shares) and 03/04/2024 (10,627 shares), matching the total of 30,000 shares to be sold. Ford’s total shares outstanding, as referenced in the filing, are 3,905,696,769; therefore, the proposed sale represents roughly 0.0008 % of shares outstanding—an immaterial fraction from a market-capitalization standpoint.

No prior sales were reported during the last three months, and no remarks or 10b5-1 plan adoption dates were disclosed. The filer has affirmed that he or she is not in possession of undisclosed material adverse information.

Investment take-away: While the notice signals insider intent to liquidate equity worth $330,000, the volume is negligible relative to Ford’s float and should not, by itself, influence the valuation or liquidity of Ford shares.

Ford Motor Company (simbolo: F) ha presentato un Modulo 144 che indica la proposta vendita di 30.000 azioni ordinarie ai sensi della Regola 144 del Securities Act del 1933. Le azioni saranno vendute tramite UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010, con un valore di mercato complessivo di 330.000 $. La data approssimativa della vendita comunicata è il 01/07/2025 e le azioni saranno quotate al NYSE.

La documentazione mostra che il venditore ha originariamente acquisito le azioni tramite tre eventi di maturazione di unità azionarie vincolate (RSU) in data 02/03/2021 (5.424 azioni), 04/03/2022 (13.949 azioni) e 04/03/2024 (10.627 azioni), corrispondenti al totale di 30.000 azioni da vendere. Il totale delle azioni in circolazione di Ford, come indicato nel modulo, è di 3.905.696.769; pertanto, la vendita proposta rappresenta circa lo 0,0008 % delle azioni in circolazione, una frazione irrilevante in termini di capitalizzazione di mercato.

Non sono state segnalate vendite precedenti negli ultimi tre mesi, né sono state fornite note o date di adozione di piani 10b5-1. Il dichiarante ha confermato di non essere in possesso di informazioni materiali sfavorevoli non divulgate.

Considerazioni per gli investitori: Sebbene l’avviso indichi l’intenzione di un insider di liquidare azioni per un valore di 330.000 $, il volume è trascurabile rispetto al flottante di Ford e non dovrebbe, di per sé, influenzare la valutazione o la liquidità delle azioni Ford.

Ford Motor Company (símbolo: F) ha presentado un Formulario 144 indicando la venta propuesta de 30,000 acciones ordinarias bajo la Regla 144 de la Ley de Valores de 1933. Las acciones serán vendidas a través de UBS Financial Services, Inc., 11 Madison Ave., Nueva York, NY 10010, con un valor de mercado agregado de 330,000 $. La fecha aproximada de venta divulgada es el 01/07/2025, y las acciones estarán listadas en la NYSE.

El documento muestra que el vendedor adquirió originalmente las acciones mediante tres eventos de consolidación de unidades de acciones restringidas (RSU) el 02/03/2021 (5,424 acciones), 04/03/2022 (13,949 acciones) y 04/03/2024 (10,627 acciones), sumando un total de 30,000 acciones a vender. El total de acciones en circulación de Ford, según el documento, es de 3,905,696,769; por lo tanto, la venta propuesta representa aproximadamente el 0.0008 % de las acciones en circulación, una fracción insignificante desde el punto de vista de la capitalización de mercado.

No se reportaron ventas previas en los últimos tres meses, ni se divulgaron comentarios o fechas de adopción de planes 10b5-1. El declarante ha afirmado que no posee información material adversa no divulgada.

Conclusión para inversionistas: Aunque el aviso señala la intención de un insider de liquidar acciones por un valor de 330,000 $, el volumen es insignificante en relación con el float de Ford y no debería, por sí solo, afectar la valoración o liquidez de las acciones de Ford.

포드 모터 컴퍼니(심볼: F)가 Form 144를 제출했습니다, 이는 1933년 증권법 규칙 144에 따라 30,000 보통주 매각 예정임을 나타냅니다. 주식은 UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010를 통해 판매되며, 총 시장 가치가 330,000달러입니다. 공개된 대략적인 판매 예정일은 2025년 7월 1일이며, 주식은 NYSE에 상장될 예정입니다.

신고서에 따르면 판매자는 원래 세 차례의 제한 주식 단위(RSU) 베스팅 이벤트를 통해 주식을 취득했으며, 각각 2021년 3월 2일(5,424주), 2022년 3월 4일(13,949주), 2024년 3월 4일(10,627주)로 총 30,000주와 일치합니다. 신고서에 명시된 포드의 총 발행 주식 수는 3,905,696,769주로, 이번 매각은 발행 주식의 약 0.0008%에 해당하며, 시가총액 관점에서 미미한 비율입니다.

지난 3개월 동안 이전 판매 내역은 보고되지 않았으며, 10b5-1 계획 채택 날짜나 기타 주석도 공개되지 않았습니다. 신고자는 공개되지 않은 중요 불리한 정보를 보유하고 있지 않음을 확인했습니다.

투자자 참고 사항: 이번 공지는 내부자의 33만 달러 상당 주식 매각 의도를 나타내지만, 거래량은 포드의 유통 주식 수에 비해 미미하여 단독으로 포드 주식의 가치나 유동성에 영향을 미치지 않을 것입니다.

Ford Motor Company (symbole : F) a déposé un formulaire 144 indiquant la vente proposée de 30 000 actions ordinaires conformément à la règle 144 du Securities Act de 1933. Les actions seront vendues par l'intermédiaire de UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010, pour une valeur marchande totale de 330 000 $. La date approximative de la vente divulguée est le 01/07/2025, et les actions seront cotées au NYSE.

Le dépôt indique que le vendeur a initialement acquis les actions lors de trois événements d'acquisition d'unités d'actions restreintes (RSU) le 02/03/2021 (5 424 actions), le 04/03/2022 (13 949 actions) et le 04/03/2024 (10 627 actions), correspondant au total de 30 000 actions à vendre. Le nombre total d'actions en circulation de Ford, tel que référencé dans le dépôt, est de 3 905 696 769 ; par conséquent, la vente proposée représente environ 0,0008 % des actions en circulation — une fraction négligeable du point de vue de la capitalisation boursière.

Aucune vente antérieure n'a été signalée au cours des trois derniers mois, et aucune remarque ni date d'adoption d'un plan 10b5-1 n'ont été divulguées. Le déclarant a affirmé ne pas être en possession d'informations défavorables matérielles non divulguées.

À retenir pour les investisseurs : Bien que cet avis signale l'intention d'un initié de liquider des actions d'une valeur de 330 000 $, le volume est négligeable par rapport au flottant de Ford et ne devrait pas, à lui seul, influencer la valorisation ou la liquidité des actions Ford.

Die Ford Motor Company (Symbol: F) hat ein Formular 144 eingereicht, das den geplanten Verkauf von 30.000 Stammaktien gemäß Regel 144 des Securities Act von 1933 anzeigt. Die Aktien werden über UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010 verkauft, mit einem gesamten Marktwert von 330.000 $. Das ungefähre Verkaufsdatum ist der 01.07.2025, und die Aktien sind an der NYSE gelistet.

Die Einreichung zeigt, dass der Verkäufer die Aktien ursprünglich durch drei Vesting-Ereignisse von Restricted Stock Units (RSU) am 02.03.2021 (5.424 Aktien), 04.03.2022 (13.949 Aktien) und 04.03.2024 (10.627 Aktien) erworben hat, was der Gesamtzahl von 30.000 zu verkaufenden Aktien entspricht. Die Gesamtzahl der ausstehenden Ford-Aktien laut Einreichung beträgt 3.905.696.769; daher entspricht der geplante Verkauf etwa 0,0008 % der ausstehenden Aktien – ein unbedeutender Anteil aus Sicht der Marktkapitalisierung.

In den letzten drei Monaten wurden keine vorherigen Verkäufe gemeldet, und es wurden keine Anmerkungen oder Daten zur Annahme eines 10b5-1-Plans angegeben. Der Einreicher hat bestätigt, dass keine nicht offengelegten wesentlichen nachteiligen Informationen vorliegen.

Investment-Fazit: Obwohl die Mitteilung die Absicht eines Insiders signalisiert, Aktien im Wert von 330.000 $ zu veräußern, ist das Volumen im Verhältnis zum Free Float von Ford vernachlässigbar und sollte für sich genommen die Bewertung oder Liquidität der Ford-Aktien nicht beeinflussen.

Positive
  • None.
Negative
  • None.

Insights

TL;DR: Small insider sale (30k shares, $330k) is routine and immaterial to Ford’s capitalization.

The filing discloses a sale equal to 0.0008 % of Ford’s 3.9 billion shares outstanding—far below thresholds that typically move markets. The shares stem from normal RSU vesting, indicating compensation-related liquidity rather than a strategic divestment. No pattern of recent selling is noted, and the filer certifies absence of undisclosed negative information. For portfolio managers, the transaction is unlikely to impact price discovery, earnings outlook, or governance assessments.

TL;DR: Filing demonstrates procedural compliance; no governance red flags detected.

Rule 144 notice was correctly filed in advance of the trade, specifying broker, share count, and acquisition history. Lack of a 10b5-1 plan date suggests discretionary timing, but the minimal size mitigates governance concerns. The representation that no undisclosed material information exists supports transparency commitments. Overall effect on governance risk profile is neutral.

Ford Motor Company (simbolo: F) ha presentato un Modulo 144 che indica la proposta vendita di 30.000 azioni ordinarie ai sensi della Regola 144 del Securities Act del 1933. Le azioni saranno vendute tramite UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010, con un valore di mercato complessivo di 330.000 $. La data approssimativa della vendita comunicata è il 01/07/2025 e le azioni saranno quotate al NYSE.

La documentazione mostra che il venditore ha originariamente acquisito le azioni tramite tre eventi di maturazione di unità azionarie vincolate (RSU) in data 02/03/2021 (5.424 azioni), 04/03/2022 (13.949 azioni) e 04/03/2024 (10.627 azioni), corrispondenti al totale di 30.000 azioni da vendere. Il totale delle azioni in circolazione di Ford, come indicato nel modulo, è di 3.905.696.769; pertanto, la vendita proposta rappresenta circa lo 0,0008 % delle azioni in circolazione, una frazione irrilevante in termini di capitalizzazione di mercato.

Non sono state segnalate vendite precedenti negli ultimi tre mesi, né sono state fornite note o date di adozione di piani 10b5-1. Il dichiarante ha confermato di non essere in possesso di informazioni materiali sfavorevoli non divulgate.

Considerazioni per gli investitori: Sebbene l’avviso indichi l’intenzione di un insider di liquidare azioni per un valore di 330.000 $, il volume è trascurabile rispetto al flottante di Ford e non dovrebbe, di per sé, influenzare la valutazione o la liquidità delle azioni Ford.

Ford Motor Company (símbolo: F) ha presentado un Formulario 144 indicando la venta propuesta de 30,000 acciones ordinarias bajo la Regla 144 de la Ley de Valores de 1933. Las acciones serán vendidas a través de UBS Financial Services, Inc., 11 Madison Ave., Nueva York, NY 10010, con un valor de mercado agregado de 330,000 $. La fecha aproximada de venta divulgada es el 01/07/2025, y las acciones estarán listadas en la NYSE.

El documento muestra que el vendedor adquirió originalmente las acciones mediante tres eventos de consolidación de unidades de acciones restringidas (RSU) el 02/03/2021 (5,424 acciones), 04/03/2022 (13,949 acciones) y 04/03/2024 (10,627 acciones), sumando un total de 30,000 acciones a vender. El total de acciones en circulación de Ford, según el documento, es de 3,905,696,769; por lo tanto, la venta propuesta representa aproximadamente el 0.0008 % de las acciones en circulación, una fracción insignificante desde el punto de vista de la capitalización de mercado.

No se reportaron ventas previas en los últimos tres meses, ni se divulgaron comentarios o fechas de adopción de planes 10b5-1. El declarante ha afirmado que no posee información material adversa no divulgada.

Conclusión para inversionistas: Aunque el aviso señala la intención de un insider de liquidar acciones por un valor de 330,000 $, el volumen es insignificante en relación con el float de Ford y no debería, por sí solo, afectar la valoración o liquidez de las acciones de Ford.

포드 모터 컴퍼니(심볼: F)가 Form 144를 제출했습니다, 이는 1933년 증권법 규칙 144에 따라 30,000 보통주 매각 예정임을 나타냅니다. 주식은 UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010를 통해 판매되며, 총 시장 가치가 330,000달러입니다. 공개된 대략적인 판매 예정일은 2025년 7월 1일이며, 주식은 NYSE에 상장될 예정입니다.

신고서에 따르면 판매자는 원래 세 차례의 제한 주식 단위(RSU) 베스팅 이벤트를 통해 주식을 취득했으며, 각각 2021년 3월 2일(5,424주), 2022년 3월 4일(13,949주), 2024년 3월 4일(10,627주)로 총 30,000주와 일치합니다. 신고서에 명시된 포드의 총 발행 주식 수는 3,905,696,769주로, 이번 매각은 발행 주식의 약 0.0008%에 해당하며, 시가총액 관점에서 미미한 비율입니다.

지난 3개월 동안 이전 판매 내역은 보고되지 않았으며, 10b5-1 계획 채택 날짜나 기타 주석도 공개되지 않았습니다. 신고자는 공개되지 않은 중요 불리한 정보를 보유하고 있지 않음을 확인했습니다.

투자자 참고 사항: 이번 공지는 내부자의 33만 달러 상당 주식 매각 의도를 나타내지만, 거래량은 포드의 유통 주식 수에 비해 미미하여 단독으로 포드 주식의 가치나 유동성에 영향을 미치지 않을 것입니다.

Ford Motor Company (symbole : F) a déposé un formulaire 144 indiquant la vente proposée de 30 000 actions ordinaires conformément à la règle 144 du Securities Act de 1933. Les actions seront vendues par l'intermédiaire de UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010, pour une valeur marchande totale de 330 000 $. La date approximative de la vente divulguée est le 01/07/2025, et les actions seront cotées au NYSE.

Le dépôt indique que le vendeur a initialement acquis les actions lors de trois événements d'acquisition d'unités d'actions restreintes (RSU) le 02/03/2021 (5 424 actions), le 04/03/2022 (13 949 actions) et le 04/03/2024 (10 627 actions), correspondant au total de 30 000 actions à vendre. Le nombre total d'actions en circulation de Ford, tel que référencé dans le dépôt, est de 3 905 696 769 ; par conséquent, la vente proposée représente environ 0,0008 % des actions en circulation — une fraction négligeable du point de vue de la capitalisation boursière.

Aucune vente antérieure n'a été signalée au cours des trois derniers mois, et aucune remarque ni date d'adoption d'un plan 10b5-1 n'ont été divulguées. Le déclarant a affirmé ne pas être en possession d'informations défavorables matérielles non divulguées.

À retenir pour les investisseurs : Bien que cet avis signale l'intention d'un initié de liquider des actions d'une valeur de 330 000 $, le volume est négligeable par rapport au flottant de Ford et ne devrait pas, à lui seul, influencer la valorisation ou la liquidité des actions Ford.

Die Ford Motor Company (Symbol: F) hat ein Formular 144 eingereicht, das den geplanten Verkauf von 30.000 Stammaktien gemäß Regel 144 des Securities Act von 1933 anzeigt. Die Aktien werden über UBS Financial Services, Inc., 11 Madison Ave., New York, NY 10010 verkauft, mit einem gesamten Marktwert von 330.000 $. Das ungefähre Verkaufsdatum ist der 01.07.2025, und die Aktien sind an der NYSE gelistet.

Die Einreichung zeigt, dass der Verkäufer die Aktien ursprünglich durch drei Vesting-Ereignisse von Restricted Stock Units (RSU) am 02.03.2021 (5.424 Aktien), 04.03.2022 (13.949 Aktien) und 04.03.2024 (10.627 Aktien) erworben hat, was der Gesamtzahl von 30.000 zu verkaufenden Aktien entspricht. Die Gesamtzahl der ausstehenden Ford-Aktien laut Einreichung beträgt 3.905.696.769; daher entspricht der geplante Verkauf etwa 0,0008 % der ausstehenden Aktien – ein unbedeutender Anteil aus Sicht der Marktkapitalisierung.

In den letzten drei Monaten wurden keine vorherigen Verkäufe gemeldet, und es wurden keine Anmerkungen oder Daten zur Annahme eines 10b5-1-Plans angegeben. Der Einreicher hat bestätigt, dass keine nicht offengelegten wesentlichen nachteiligen Informationen vorliegen.

Investment-Fazit: Obwohl die Mitteilung die Absicht eines Insiders signalisiert, Aktien im Wert von 330.000 $ zu veräußern, ist das Volumen im Verhältnis zum Free Float von Ford vernachlässigbar und sollte für sich genommen die Bewertung oder Liquidität der Ford-Aktien nicht beeinflussen.

false 0001158114 0001158114 2025-06-26 2025-06-26 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): June 26, 2025

 

 

 

Applied Optoelectronics, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware 001-36083 76-0533927

(State of incorporation)

(Commission File Number) (I.R.S. Employer Identification No.)

 

13139 Jess Pirtle Blvd.
Sugar Land
, Texas 77478

(Address of principal executive offices and zip code)

 

(281) 295-1800

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Trading Name of each exchange on which registered
Common Stock, Par value $0.001 AAOI NASDAQ Global Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

 

 

 

   

 

 

Item 1.01 Entry into a Material Definitive Agreement.

 

On June 26, 2025, Global Technology, Inc. ( “Global Technology”), a wholly owned subsidiary of Applied Optoelectronics, Inc., entered into a five-year revolving credit line agreement, totaling 162,260,000 RMB (the “Credit Line”), as well as a related security agreement (the “Security Agreement”), with China Construction Bank Co., Ltd., in Ningbo City, China ( the “Bank”). Borrowing under the Credit Line will be used for general corporate and capital investment purposes.

 

Global Technology may draw on the Credit Line at any time from June 26, 2025 through June 26, 2030. The amount available under the Credit Line is inclusive of prior credit facilities previously granted by the Bank. Each draw is subject to a separate application and approval by the Bank and will bear interest equal to the Bank’s commercial banking interest rate effective on the day of the applicable draw.

 

Global Technology’s obligations under the Credit Line will be secured by real property owned by Global Technology and mortgaged to the Bank pursuant to the terms of the Security Agreement. The Credit Line and Security Agreement contain rights and obligations, representations and warranties, and events of default applicable to Global Technology that are customary for agreements of this type.

 

The foregoing description of the Credit Line and Security Agreement do not purport to be a complete statement of the parties’ rights and obligations under the agreements and is qualified in its entirety by reference to the full text of the Maximum Loan (Credit) Contract (Credit Line Agreement) and Maximum Mortgage Contract (Security Agreement), English translations of which are attached as Exhibit 10.1 and 10.2 to this Current Report on Form 8-K and are incorporated by reference herein.

 

Item 2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

 

The information contained in Item 1.01 of this Current Report on Form 8-K with respect to the Amendment is incorporated by reference herein and made a part hereof.

 

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

10.1

Translation of the Maximum Loan (Credit) Contract (Credit Line Agreement), dated June 26, 2025, between Global Technology, Inc. and China Construction Bank Co., Ltd.

10.2Translation of the Maximum Mortgage Contract (Security Agreement), dated June 26, 2025, between Global Technology, Inc. and China Construction Bank Co., Ltd.
104Cover Page Interactive Data File (embedded within the Inline XBRL document).

 

 

 

 

 2 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: July 1, 2025

APPLIED OPTOELECTRONICS, INC.

 
       
       
  By: /s/ DAVID C. KUO  
  Name:

DAVID C. KUO

 
  Title: Senior Vice President and Chief Legal Officer  

 

 

 

 

 

 

 

 

 

 

 

 

 

 3 

 

FAQ

What does Ford’s Form 144 filed on 07/01/2025 disclose?

It discloses a proposed sale of 30,000 Ford common shares valued at $330,000 under Rule 144.

How significant is the 30,000-share sale relative to Ford’s float?

The sale equals about 0.0008 % of the 3.9 billion shares outstanding, an immaterial amount.

When were the shares being sold originally acquired?

Through RSU vestings on 03/02/2021 (5,424 shares), 03/04/2022 (13,949), and 03/04/2024 (10,627).

Which broker will execute the sale for the insider?

The trade is to be executed by UBS Financial Services, Inc., New York.

Does the filing mention a Rule 10b5-1 trading plan?

No date of plan adoption or instructions under Rule 10b5-1 was provided in the filing.
Applied Optoelec

NASDAQ:AAOI

AAOI Rankings

AAOI Latest News

AAOI Stock Data

1.47B
53.04M
4.9%
64.09%
19.38%
Communication Equipment
Semiconductors & Related Devices
Link
United States
SUGAR LAND