Applied Optoelectronics (AAOI) legal chief reports RSU grant and stock sales

Rhea-AI Filing Summary

Applied Optoelectronics executive David C. Kuo reported both equity awards and stock sales. On February 9, 2026, he acquired 17,027 shares of common stock at $0.00 per share as a grant of restricted stock units under the Amended and Restated 2021 Equity Incentive Plan, with one‑sixteenth vesting every three months starting January 21, 2026.

He then executed open‑market sales under a pre‑arranged Rule 10b5‑1 trading plan adopted May 15, 2025, selling 2,533 shares at a weighted average price of $50.0015 on February 10, 2026 and 17,467 shares at a weighted average price of $50.1661 on February 11, 2026. After these transactions, he directly held 111,663 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
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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^*

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)
02/09/2026

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	02/09/2026		A		17,027(1)	A	$0.00	131,663	D
Common Stock, $.001 par value	02/10/2026		S		2,533(2)	D	$50.0015	129,130	D
Common Stock, $.001 par value	02/11/2026		S		17,467(3)	D	$50.1661	111,663	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 Restricted Stock Units (RSUs) were granted under the Company's Amended and Restated 2021 Equity Incentive Plan, one-sixteen of the RSUs vest every three months commencing on January 21, 2026.

2. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $50.000 to $50.040 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. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $50.000 to $50.440 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	02/11/2026
	** 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.

FAQ

What insider transactions did AAOI executive David C. Kuo report?

David C. Kuo reported receiving a grant of 17,027 shares via restricted stock units and selling 2,533 and 17,467 shares in open‑market transactions. These sales and the award involved Applied Optoelectronics common stock and were reported together in the same Form 4 filing.

How many AAOI shares did David C. Kuo sell and at what prices?

He sold 2,533 Applied Optoelectronics shares at a weighted average price of $50.0015 and 17,467 shares at a weighted average price of $50.1661. Both sale sets occurred through multiple trades that together produced the reported average prices.

Was David C. Kuo’s AAOI stock sale under a Rule 10b5-1 trading plan?

Yes. The filing states both sale transactions were effected under a Rule 10b5‑1 trading plan adopted on May 15, 2025. This type of pre‑arranged plan is designed to schedule trades in advance to help manage potential insider‑trading concerns.

What equity award did David C. Kuo receive from Applied Optoelectronics?

He received 17,027 restricted stock units under Applied Optoelectronics’ Amended and Restated 2021 Equity Incentive Plan. One‑sixteenth of these RSUs vests every three months, beginning January 21, 2026, gradually delivering shares over time as vesting conditions are met.

How many AAOI shares does David C. Kuo own after these transactions?

After the reported grant and subsequent sales, David C. Kuo directly beneficially owned 111,663 shares of Applied Optoelectronics common stock. This figure reflects his holdings immediately following the final sale reported in the Form 4.

What is David C. Kuo’s role at Applied Optoelectronics?

The remarks section identifies David C. Kuo as Senior Vice President and Chief Legal Officer of Applied Optoelectronics. His Form 4 therefore reflects transactions by a senior executive officer with direct ownership of the company’s common stock.