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

Applied Optoelectronics (AAOI) director sells 21,000 shares in open‑market trade

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

Rhea-AI Filing Summary

Applied Optoelectronics director Cynthia DeLaney reported an open‑market sale of company stock. She sold 21,000 shares of common stock at a weighted‑average price of $98.0164 per share. After this transaction, she directly holds 116,222 shares. An additional 2,380 shares are held indirectly by her spouse, and she disclaims beneficial ownership of those except for any indirect pecuniary interest.

Positive

  • None.

Negative

  • None.
Insider DeLaney Cynthia
Role Director
Sold 21,000 shs ($2.06M)
Type Security Shares Price Value
Sale Common Stock, $.001 par value 21,000 $98.0164 $2.06M
holding Common Stock, $.001 par value -- -- --
Holdings After Transaction: Common Stock, $.001 par value — 116,222 shares (Direct); Common Stock, $.001 par value — 2,380 shares (Indirect, By Spouse)
Footnotes (1)
  1. The shares were sold in multiple transactions on March 04, 2026 at actual sale prices ranging from $97.3801 to $98.5150 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 Held directly by Norman Stephan Kinsella, the spouse of Cynthia DeLaney. Ms. DeLaney disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by her spouse, except to the extent of any indirect pecuniary interest therein.
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Form 4 Insider Transactions: What Each Field Means →
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).
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*
DeLaney Cynthia
(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)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/04/2026
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 03/04/2026 S 21,000(1) D $98.0164 116,222 D
Common Stock, $.001 par value 2,380(2) I By Spouse
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 shares were sold in multiple transactions on March 04, 2026 at actual sale prices ranging from $97.3801 to $98.5150 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. Held directly by Norman Stephan Kinsella, the spouse of Cynthia DeLaney. Ms. DeLaney disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by her spouse, except to the extent of any indirect pecuniary interest therein.
/s/ David C. Kuo for Cynthia DeLaney 03/05/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did AAOI director Cynthia DeLaney report?

Cynthia DeLaney reported selling 21,000 shares of Applied Optoelectronics common stock in an open‑market transaction. The shares were sold at a weighted‑average price of $98.0164, based on multiple trades executed within a price range disclosed in the filing footnotes.

At what price did Cynthia DeLaney sell her AAOI shares?

The reported sale used a weighted‑average price of $98.0164 per AAOI share. Footnotes explain the shares were sold in multiple transactions at actual sale prices ranging from $97.3801 to $98.5150 per share on March 4, 2026, with full detail available upon request.

How many AAOI shares does Cynthia DeLaney hold after this sale?

After selling 21,000 shares, Cynthia DeLaney directly holds 116,222 shares of Applied Optoelectronics common stock. The filing also shows 2,380 additional shares held indirectly by her spouse, for which she disclaims beneficial ownership except to the extent of any indirect pecuniary interest.

How are the spouse-held AAOI shares treated in Cynthia DeLaney’s Form 4?

The Form 4 lists 2,380 AAOI shares as indirectly held “By Spouse.” A footnote states these shares are held by Norman Stephan Kinsella, her spouse, and that Ms. DeLaney disclaims beneficial ownership of those securities except to the extent of any indirect pecuniary interest.