Applied Optoelectronics (AAOI) CFO details Rule 10b5-1 sales, 1,000-share gift

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. reported stock transactions by its chief financial officer involving company common shares. On December 10, 2025, the CFO sold 3,000 shares of common stock at a weighted average price of $30.4042 per share, in multiple trades priced between $30.00 and $30.51, under a Rule 10b5-1 trading plan adopted on August 12, 2025. That same day, the CFO sold an additional 1,000 shares at a weighted average price of $35.00 per share, also pursuant to the plan.

On December 11, 2025, the CFO made a bona fide gift of 1,000 shares to a 501(c)(3) non-profit organization at a reported price of $0.00 per share. After these transactions, the reporting person beneficially owned 286,971 shares of Applied Optoelectronics common stock.

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).

X

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 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)
	Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
12/10/2025

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	12/10/2025		S		3,000(1)	D	$30.4042	288,971	D
Common Stock, $.001 par value	12/10/2025		S		1,000(2)	D	$35	287,971	D
Common Stock, $.001 par value	12/11/2025		G(3)		1,000	D	$0.00	286,971	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. 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 $30.00 to $30.51 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.

2. 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 of $35.00 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.

3. Bona fide gift of shares to a 501(c)3 non-profit organization.

	/s/ David C. Kuo, attorney in fact for Stefan J. Murry	12/12/2025
	** 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 insider stock transactions did Applied Optoelectronics (AAOI) report for its CFO?

The chief financial officer sold 3,000 shares at a weighted average of $30.4042 and 1,000 shares at $35.00 on December 10, 2025, and made a bona fide gift of 1,000 shares on December 11, 2025.

At what prices did the Applied Optoelectronics (AAOI) CFO sell shares in December 2025?

On December 10, 2025, the CFO sold 3,000 shares at a weighted average price of $30.4042 per share, with individual trades between $30.00 and $30.51, and another 1,000 shares at a weighted average price of $35.00 per share.

How many Applied Optoelectronics (AAOI) shares does the CFO own after these transactions?

Following the reported sales and the gift, the reporting person beneficially owned 286,971 shares of Applied Optoelectronics common stock.

Were the AAOI CFO's stock sales made under a Rule 10b5-1 trading plan?

Yes. Both the 3,000-share sale and the 1,000-share sale on December 10, 2025 were effected under a Rule 10b5-1 trading plan adopted on August 12, 2025.

Did the Applied Optoelectronics (AAOI) CFO donate any shares to charity?

Yes. On December 11, 2025, the CFO made a bona fide gift of 1,000 shares of common stock to a 501(c)(3) non-profit organization at a reported price of $0.00 per share.

Was this AAOI insider report filed by one or multiple reporting persons?

The report was filed as a Form 4 by one reporting person, who serves as the company’s chief financial officer.