Applied Optoelectronics (NASDAQ: AAOI) insider sells 29,000 shares

Rhea-AI Filing Summary

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.

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
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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^*

Kuo David C

(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)
	*** See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/19/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $.001 par value	03/19/2026		S		29,000(1)	D	$100.1276	82,663	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The shares were sold in multiple transactions on March 19, 2026 at actual sale prices ranging from $100.00 to $100.44 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.

Remarks:

***Senior Vice President and Chief Legal Officer

	/s/ David C. Kuo	03/23/2026
	** 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)

FAQ

What insider transaction did AAOI officer David C. Kuo report?

David C. Kuo reported selling 29,000 shares of Applied Optoelectronics common stock. The open-market sale occurred on March 19, 2026, and was executed as multiple trades, all within a narrow price range around $100 per share, according to the Form 4 filing.

At what prices did David C. Kuo sell AAOI shares on March 19, 2026?

The shares were sold at prices ranging from $100.00 to $100.44 per share. The Form 4 reports a weighted average sale price of $100.1276 per share, reflecting multiple transactions executed that day within this tight trading range.

How many AAOI shares does David C. Kuo hold after this Form 4 sale?

After selling 29,000 shares, David C. Kuo directly owns 82,663 shares of Applied Optoelectronics common stock. This post-transaction ownership figure is disclosed in the Form 4 as the total number of shares beneficially owned following the reported sale.

Was the AAOI insider sale by David C. Kuo an open-market transaction?

Yes. The Form 4 classifies the transaction with code “S” as an open-market or private sale. The description specifies it as an open-market sale of common stock at various prices, all executed on March 19, 2026 on standard trading terms.

Can investors see each individual AAOI trade executed by David C. Kuo?

Yes, detailed trade data is available upon request. The footnote explains that Kuo will provide full information on the number of shares sold in each transaction to SEC staff, the issuer, or any issuer security holder who requests it.

What security class was involved in David C. Kuo’s AAOI Form 4 sale?

The transaction involved Applied Optoelectronics common stock with a par value of $0.001 per share. All 29,000 shares sold on March 19, 2026 were of this common stock class, as specified in the non-derivative transaction section of the Form 4.