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  4. [Form 4] APPLIED OPTOELECTRONICS, INC. Insider Trading Activity

AAOI (AAOI) CFO reports share grant, tax withholding and sale in Form 4

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

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported a mix of equity compensation and share dispositions involving the company’s common stock. He received 249,110 shares on May 15, 2026 as a grant earned from performance-vesting restricted stock units for the 2023–2026 period at maximum performance.

On May 19, 2026, 30,330 shares were withheld to cover tax obligations, and he executed an open-market sale of 33,000 shares at $173.26 per share. Following these transactions, Murry directly held 451,906 shares of APPLIED OPTOELECTRONICS common stock.

Positive

  • None.

Negative

  • None.
Insider Murry Stefan J.
Role Chief Financial Officer
Sold 33,000 shs ($5.72M)
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 30,330 $190.36 $5.77M
Sale Common Stock, $.001 par value 33,000 $173.26 $5.72M
Grant/Award Common Stock, $.001 par value 249,110 $0.00 --
Holdings After Transaction: Common Stock, $.001 par value — 484,906 shares (Direct, null)
Footnotes (1)
  1. Consists of shares earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned and settled with respect to maximum performance. Consists of shares withheld to satisfy applicable tax withholding obligations.
Performance award shares 249,110 shares Grant/award acquisition on May 15, 2026
Open-market sale 33,000 shares at $173.26/share Sale on May 19, 2026
Tax-withholding shares 30,330 shares at $190.36/share Tax-withholding disposition on May 19, 2026
Shares held after transactions 451,906 shares Direct ownership after reported transactions
performance vesting restricted stock units financial
"Consists of shares earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period"
open-market sale financial
"transaction_action: open-market sale"
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
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.
Grant, award, or other acquisition financial
"transaction_code_description: Grant, award, or other acquisition"
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*
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)
05/15/2026		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 value05/15/2026A249,110(1)A$0.00515,236D
Common Stock, $.001 par value05/19/2026F30,330(2)D$190.36484,906D
Common Stock, $.001 par value05/19/2026S33,000D$173.26451,906D
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. Consists of shares earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned and settled with respect to maximum performance.
2. Consists of shares withheld to satisfy applicable tax withholding obligations.
/s/ David C. Kuo, attorney in fact for Stefan J. Murry05/19/2026
** 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 transactions did AAOI CFO Stefan Murry report on this Form 4?

CFO Stefan Murry reported a performance-based share grant, tax-related share withholding, and an open-market sale. He received 249,110 shares, had 30,330 shares withheld for taxes, and sold 33,000 shares of APPLIED OPTOELECTRONICS common stock.

How many AAOI shares did the CFO sell and at what price?

Stefan Murry sold 33,000 shares of APPLIED OPTOELECTRONICS common stock. The sale was an open-market transaction at a reported price of $173.26 per share, according to the Form 4 insider filing data provided.

What performance award did the AAOI CFO receive in this filing?

The CFO received 249,110 shares as settlement of performance vesting restricted stock units. These units covered the 2023–2026 performance period and were earned and settled based on achieving maximum performance under the company’s plan.

Why were some AAOI shares disposed of as a tax-withholding transaction?

The filing shows a disposition of 30,330 shares classified as a tax-withholding transaction. These shares were withheld to satisfy applicable tax withholding obligations related to the equity award rather than being sold in the open market.

How many AAOI shares does the CFO hold after these transactions?

After the reported grant, tax withholding, and sale, Stefan Murry directly holds 451,906 shares of APPLIED OPTOELECTRONICS common stock. This post-transaction holding reflects the position shown in the Form 4 data for his direct ownership.

Are the AAOI CFO’s tax-withholding shares considered open-market sales?

No. The 30,330-share tax-withholding disposition is not an open-market sale. It represents shares withheld to satisfy tax obligations on the equity award, distinct from the 33,000-share open-market sale reported separately.