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Applied Optoelectronics (AAOI) officer surrenders 3,585 shares for tax withholding

Filing Impact
(Very High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider Kuo David C
Role *** See Remarks
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 2,053 $150.57 $309K
Tax Withholding Common Stock, $.001 par value 518 $150.57 $78K
Tax Withholding Common Stock, $.001 par value 567 $150.57 $85K
Tax Withholding Common Stock, $.001 par value 447 $150.57 $67K
Holdings After Transaction: Common Stock, $.001 par value — 80,610 shares (Direct, null)
Footnotes (1)
  1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.
Tax-withholding shares 3,585 shares Total shares surrendered for tax withholding on 2026-04-22
Tax-withholding price $150.57 per share Value used for all tax-withholding dispositions on 2026-04-22
RSU grant date June 26, 2023 One of the RSU awards whose vesting triggered tax withholding
RSU grant date April 29, 2024 RSU award referenced in Form 4 footnotes
RSU grant date April 11, 2025 RSU award referenced in Form 4 footnotes
RSU grant date February 9, 2026 Most recent RSU award tied to tax-withholding disposition
tax-withholding obligations financial
"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award"
restricted stock unit financial
"upon the vesting of restricted stock unit award granted on June 26, 2023"
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
shares surrendered financial
"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations"
tax-withholding disposition financial
"transaction_action: tax-withholding disposition"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
non-derivative financial
"transaction_type: non-derivative"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
*** See Remarks
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/22/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock, $.001 par value04/22/2026F2,053(1)D$150.5780,610D
Common Stock, $.001 par value04/22/2026F518(2)D$150.5780,092D
Common Stock, $.001 par value04/22/2026F567(3)D$150.5779,525D
Common Stock, $.001 par value04/22/2026F447(4)D$150.5779,078D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.
Remarks:
***Senior Vice President and Chief Legal Officer
/s/ David C. Kuo04/24/2026
** Signature of Reporting PersonDate
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 executive David C. Kuo report?

David C. Kuo reported surrendering 3,585 AAOI shares to the company. The shares were used to satisfy tax-withholding obligations related to vesting restricted stock units, rather than an open-market sale, making this a routine compensation-linked transaction.

Was the AAOI Form 4 transaction a stock sale in the open market?

No, the AAOI Form 4 shows tax-withholding dispositions, not open-market sales. Kuo delivered shares back to the issuer at $150.57 per share to cover taxes on vesting restricted stock units granted between 2023 and 2026.

How many AAOI shares were used for tax withholding by David C. Kuo?

Kuo surrendered a total of 3,585 shares of AAOI common stock. These shares were delivered to the company to cover tax-withholding obligations triggered by multiple restricted stock unit vesting events disclosed in the Form 4 footnotes.

What price per share was used in the AAOI tax-withholding transactions?

The tax-withholding dispositions used a price of $150.57 per share. This value applies to the 3,585 shares surrendered by Kuo to satisfy tax obligations upon vesting of restricted stock unit awards granted from 2023 through 2026.

Which AAOI equity awards triggered David C. Kuo’s tax-withholding share surrender?

The surrendered shares relate to vesting of restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026. Each vesting led to shares being delivered back to AAOI for tax withholding.