Applied Optoelectronics (AAOI) CFO sells 4,000 shares in planned trade

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry sold 4,000 shares of common stock in an open-market transaction on May 11, 2026 at a weighted average price of $159.5254 per share. According to the disclosure, these sales were executed under a pre-arranged Rule 10b5-1 trading plan adopted on August 12, 2025. After this sale, he directly holds 266,126 shares of the company’s common stock.

Insider Trade Summary 10b5-1

Net Seller: 4,000 shares ($638,102)

Net Sell 1 txn

Insider Murry Stefan J.

Role Chief Financial Officer

Sold 4,000 shs ($638K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	4,000	$159.5254	$638K

Holdings After Transaction: Common Stock, $.001 par value — 266,126 shares (Direct, null)

Footnotes (1)

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Key Figures

Shares sold: 4,000 shares Weighted average sale price: $159.5254 per share Sale price range: $155.00 to $168.33 per share +2 more

5 metrics

Shares sold 4,000 shares Common stock sold on May 11, 2026

Weighted average sale price $159.5254 per share Average price for 4,000 shares sold

Sale price range $155.00 to $168.33 per share Range of actual sale prices

Shares held after sale 266,126 shares Direct holdings after May 11, 2026 transaction

Shares sold (net) 4,000 shares Net-sell direction in transaction summary

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, open-market sale, Form 4

4 terms

Rule 10b5-1 trading plan financial

"These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

weighted average sale price financial

"The price reported reflects the weighted average sale price for the transactions"

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Form 4 regulatory

"INSIDER FILING DATA (Form 4)"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Form 4 Insider Transactions: What Each Field Means →

05/13/2026 - 04:05 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Murry Stefan J.

(Last)

(First)

(Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND

TEXAS

77478

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
APPLIED OPTOELECTRONICS, INC. [ AAOI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/11/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $.001 par value	05/11/2026		S		4,000⁽¹⁾	D	$159.5254	266,126	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 12, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $155.00 to $168.33 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.

	/s/ David C. Kuo, attorney in fact for Stefan J. Murry	05/13/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did AAOI report for its CFO?

APPLIED OPTOELECTRONICS reported that CFO Stefan J. Murry sold 4,000 shares of common stock. The open-market transaction occurred on May 11, 2026 at a weighted average price of $159.5254 per share under a pre-arranged Rule 10b5-1 trading plan.

At what prices did the AAOI CFO sell his shares?

The CFO’s shares were sold at actual prices ranging from $155.00 to $168.33 per share. The filing reports a weighted average sale price of $159.5254 per share for the 4,000 shares sold in multiple open-market transactions.

How many AAOI shares does the CFO hold after the transaction?

Following the reported sale, CFO Stefan J. Murry directly holds 266,126 shares of APPLIED OPTOELECTRONICS common stock. This post-transaction holding figure comes directly from the Form 4 and reflects his remaining direct ownership after the 4,000-share sale.

Was the AAOI CFO sale under a Rule 10b5-1 trading plan?

Yes. The filing states the sales were effected under a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2025. Such plans are pre-arranged trading programs designed to systematically sell shares over time.

How many shares did the AAOI CFO sell in total in this Form 4?

The Form 4 shows the CFO sold a total of 4,000 shares of APPLIED OPTOELECTRONICS common stock. These shares were sold in multiple open-market transactions, all reported together with a single weighted average sale price.

What does the AAOI Form 4 say about providing detailed trade information?

The disclosure notes the reporting person will provide full details of the number of shares sold in each transaction upon request. Requests can come from SEC staff, the issuer, or any security holder of APPLIED OPTOELECTRONICS.