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Applied Optoelectronics (AAOI) CFO withholds 5,408 shares for tax obligations

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Filing Sentiment
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Form Type
4

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported four tax-withholding dispositions totaling 5,408 shares of common stock on July 22, 2026 at $119.26 per share. The shares were surrendered to the issuer to cover tax-withholding obligations upon vesting of restricted stock unit awards granted between June 2023 and February 2026. The Rule 10b5-1 trading-plan box was not checked.

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Insider Murry Stefan J.
Role Chief Financial Officer
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value F1 2,971 $119.26 $354K
Tax Withholding Common Stock, $.001 par value F2 679 $119.26 $81K
Tax Withholding Common Stock, $.001 par value F3 988 $119.26 $118K
Tax Withholding Common Stock, $.001 par value F4 770 $119.26 $92K
Holdings After Transaction: Common Stock, $.001 par value — 375,168 shares (Direct)
Footnotes (4)
  1. F1. 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. F2. 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. F3. 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. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026
Total shares surrendered for tax withholding 5,408 shares Shares surrendered to issuer for tax-withholding obligations on July 22, 2026
Per-share value used for tax withholding $119.2600 per share Price applied to each common share in the four disposition transactions
Shares surrendered for June 26, 2023 RSU grant 2,971 shares Tax-withholding shares tied to RSU award granted on June 26, 2023
Shares surrendered for April 29, 2024 RSU grant 679 shares Tax-withholding shares tied to RSU award granted on April 29, 2024
Shares surrendered for April 11, 2025 RSU grant 988 shares Tax-withholding shares tied to RSU award granted on April 11, 2025
Shares surrendered for February 9, 2026 RSU grant 770 shares Tax-withholding shares tied to RSU award granted on February 9, 2026
restricted stock unit award financial
"upon the vesting of restricted stock unit award granted on June 26, 2023"
A restricted stock unit award is a promise by a company to give an employee a specified number of company shares at a future date if certain conditions are met, such as staying with the company or hitting performance goals. For investors, these awards matter because they can increase the total number of shares outstanding when converted, diluting existing holders, and they align employees’ incentives with shareholders’ interests much like giving a rising bonus that becomes real only after conditions are satisfied.
tax-withholding obligations financial
"surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting"
surrendered to the Issuer financial
"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations"

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FAQ

What insider transaction did AAOI's CFO report on July 22, 2026?
CFO Stefan J. Murry reported tax-withholding dispositions of 5,408 shares of Applied Optoelectronics common stock. The shares were surrendered to the issuer at $119.26 per share to satisfy tax obligations triggered by the vesting of several restricted stock unit awards.

Why were 5,408 AAOI shares surrendered by the CFO?
The 5,408 shares were surrendered to Applied Optoelectronics to satisfy tax-withholding obligations on vesting restricted stock units. Footnotes link the transactions to RSU awards granted on June 26, 2023, April 29, 2024, April 11, 2025 and February 9, 2026, rather than discretionary share sales.

At what price were the AAOI shares used for tax withholding valued?
All reported tax-withholding dispositions used a price of $119.26 per share for Applied Optoelectronics common stock. This per-share value applies to each of the four transactions reported for July 22, 2026 in connection with the RSU vesting-related tax obligations.

Were Stefan J. Murry's AAOI share dispositions under a Rule 10b5-1 plan?
The transactions were not reported as being under a Rule 10b5-1 trading plan. The Rule 10b5-1 checkbox was not marked, while the footnotes describe the dispositions as shares surrendered to cover tax-withholding obligations on vesting restricted stock unit awards.

Do these AAOI transactions indicate an open-market sale by the CFO?
They do not indicate open-market sales. Each transaction is coded "F" and described as shares surrendered to the issuer to satisfy tax-withholding obligations, meaning stock was withheld or delivered for taxes rather than sold on the open market.
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*
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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/22/2026		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 value07/22/2026F2,971(1)D$119.26377,605D
Common Stock, $.001 par value07/22/2026F679(2)D$119.26376,926D
Common Stock, $.001 par value07/22/2026F988(3)D$119.26375,938D
Common Stock, $.001 par value07/22/2026F770(4)D$119.26375,168D
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
/s/ David C. Kuo, attorney in fact for Stefan J. Murry07/23/2026
** 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