[Form 4] Applied Optoelectronics, Inc. Insider Trading Activity

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. (AAOI) insider sale disclosed on Form 4. Senior Vice President and Chief Legal Officer David C. Kuo reported selling 2,000 shares of common stock on 08/15/2025 under transaction code "S" at a weighted average price of $22.34 per share. The filing states the shares were sold in multiple trades on that date at actual prices ranging from $22.25 to $22.48 and that Mr. Kuo will provide detailed per-trade quantities and prices upon request.

After the reported sale, Mr. Kuo beneficially owned 147,371 shares. The Form 4 identifies the issuer and ticker (Applied Optoelectronics, Inc. | AAOI) and is signed by the reporting person, confirming the disclosure.

Positive

• Clear pricing detail including weighted average price ($22.34) and reported per-trade price range ($22.25–$22.48)
• Post-transaction beneficial ownership disclosed (147,371 shares)
• Reporting person offers to provide full per-transaction details upon request

Negative

• Insider sale of 2,000 shares reduces officer's stake from prior level (amount sold disclosed)
• No Rule 10b5-1 plan or other trading-plan designation is indicated in the filing text

Insights

Financial Analyst

TL;DR: Insider sale of 2,000 shares at a $22.34 weighted average; post-sale holdings remain substantial at 147,371 shares.

The filing documents a routine insider disposition executed on 08/15/2025. The transaction code "S" and the stated weighted average price of $22.34 (with per-trade prices between $22.25 and $22.48) provide clear pricing detail. The reporting person retains a meaningful stake of 147,371 shares following the sale, which suggests the disposition is not a full exit and is limited in size relative to the residual holding. The willingness to furnish per-transaction details upon request enhances disclosure quality.

Corporate Governance Expert

TL;DR: Form 4 timely reports an officer-level sale with explicit price ranges and a signed attestation.

From a governance perspective, the filing meets Section 16 disclosure norms by specifying transaction date, aggregate shares sold, weighted average price, and resulting beneficial ownership. The remarks identify the reporting person as Senior Vice President and Chief Legal Officer, and the signature attests to the accuracy of the statement. No indication is given of a trading plan or Rule 10b5-1 designation in the filing text, and no amendments are noted. The disclosure appears procedurally complete for the reported sale.

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^*

Kuo David C

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TX 77478

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
08/15/2025

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

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

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

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	08/15/2025		S		2,000(1)	D	$22.34	147,371	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 August 15, 2025 at actual sale prices ranging from $22.25 to $22.48 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	08/15/2025
	** 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.

FAQ

What did AAOI insider David C. Kuo report on Form 4?

He reported selling 2,000 shares of AAOI common stock on 08/15/2025 at a weighted average price of $22.34 per share.

How many AAOI shares does David C. Kuo own after the sale?

The Form 4 states he beneficially owned 147,371 shares following the reported transaction.

What price range did the AAOI sale trades occur at?

The filing reports actual sale prices ranged from $22.25 to $22.48 per share; the weighted average reported is $22.34.

Does the Form 4 indicate the sale was under a 10b5-1 trading plan?

No. The filing does not indicate that the transaction was made pursuant to a Rule 10b5-1 trading plan.

Who signed the Form 4 for AAOI?

The Form 4 is signed by David C. Kuo on 08/15/2025, the reporting person and Senior Vice President and Chief Legal Officer.