Applied Optoelectronics CFO sells 4,000 shares

AAOI’s chief financial officer sold 4,000 shares under a pre-arranged Rule 10b5-1 trading plan and continues to hold 367,168 shares.

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. (AAOI) reported that Chief Financial Officer Stefan J. Murry sold 4,000 shares of common stock on September 10, 2026 at a weighted average price of $105.33 per share, in open-market transactions under a Rule 10b5-1 trading plan adopted on August 12, 2025. The shares were sold in multiple trades at prices ranging from $104.60 to $105.98 per share, and Murry continues to hold 367,168 shares directly after this transaction.

Insider Trade Summary 10b5-1

Net Seller: 4,000 shares

Net Sell 1 txn

Insider Murry Stefan J.

Role Chief Financial Officer

Sold 4,000 shs ($421K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value F1	4,000	$105.33	$421K

Holdings After Transaction: Common Stock, $.001 par value — 367,168 shares (Direct)

Footnotes (1)

1. F1. 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 $104.60 to $105.98 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.

Key Figures

Shares sold: 4,000 shares Weighted average sale price: $105.33 per share Sale price range: $104.60–$105.98 per share +3 more

6 metrics

Shares sold 4,000 shares Common stock sale reported for September 10, 2026

Weighted average sale price $105.33 per share Average price for the 4,000 shares sold on September 10, 2026

Sale price range $104.60–$105.98 per share Range of actual sale prices in multiple transactions

Post-transaction holdings 367,168 shares Shares of AAOI common stock held directly by the CFO after the sale

Rule 10b5-1 plan adoption date August 12, 2025 Date the CFO adopted the trading plan used for these sales

Net shares sold in filing 4,000 shares Transaction summary net-sell shares for this Form 4

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, open market or private transaction

3 terms

Rule 10b5-1 trading plan regulatory

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

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 or private transaction financial

"Sale in open market or private transaction"

FAQ

What insider transaction did AAOI report for its CFO on September 10, 2026?

APPLIED OPTOELECTRONICS, INC. reported that its Chief Financial Officer, Stefan J. Murry, sold 4,000 shares of common stock on September 10, 2026 in an open-market transaction at a weighted average price of $105.33 per share.

At what prices did the AAOI CFO sell shares in this Form 4 filing?

The AAOI CFO’s 4,000-share sale was executed in multiple transactions at prices ranging from $104.60 to $105.98 per share. The Form 4 reports a weighted average sale price of $105.33 per share for these trades.

How many AAOI shares does the CFO hold after the reported sale?

Following the reported sale, AAOI’s Chief Financial Officer directly holds 367,168 shares of the company’s common stock. This post-transaction holding is stated in the Form 4 as the total shares beneficially owned after the sale.

Was the AAOI CFO’s September 2026 share sale under a Rule 10b5-1 plan?

Yes. The Form 4 states that the sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2025, indicating the trades were pre-arranged under that plan.

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

The filing reports that the AAOI Chief Financial Officer sold 4,000 shares of common stock in this Form 4 event. The transaction summary also shows net-sell shares of 4,000, reflecting only this sale and no offsetting purchases.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/10/2026 - 04:27 PM Accepted by SEC EDGAR 09/10/2026 - 04:27 PM Learn about SEC filing dates

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 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)
09/10/2026

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	09/10/2026		S		4,000(1)	D	$105.33	367,168	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 $104.60 to $105.98 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	09/10/2026
	** 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)