Applied Optoelectronics CFO sells 4,000 AAOI shares

APPLIED OPTOELECTRONICS, INC.

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported an open-market sale of 4,000 shares of common stock on August 10, 2026, at a weighted average price of $144.79 per share, executed in multiple trades between $140.69 and $147.99. The transactions were carried out under a Rule 10b5-1 trading plan adopted on August 12, 2025. Following these sales, Murry directly holds 371,168 shares of the company’s common stock.

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 ($579K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value F1	4,000	$144.79	$579K

Holdings After Transaction: Common Stock, $.001 par value — 371,168 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 $140.69 to $147.99 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: $144.79 per share Sale price range: $140.69–$147.99 per share +2 more

5 metrics

Shares sold 4,000 shares Non-derivative sale of common stock on August 10, 2026

Weighted average sale price $144.79 per share Weighted average for multiple sale transactions on August 10, 2026

Sale price range $140.69–$147.99 per share Actual sale prices across multiple transactions on August 10, 2026

Shares owned after transaction 371,168 shares Directly held common stock following the reported sale

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

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, Common Stock, $.001 par value, open market or private transaction

4 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"

Common Stock, $.001 par value financial

"security_title: Common Stock, $.001 par value"

open market or private transaction financial

"transaction_code_description: Sale in open market or private transaction"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did AAOI’s CFO report on this Form 4?

AAOI’s Chief Financial Officer Stefan J. Murry reported selling 4,000 shares of common stock on August 10, 2026. The sale was executed in multiple open-market trades under a pre-arranged Rule 10b5-1 trading plan.

At what price did AAOI’s CFO sell the 4,000 shares?

The 4,000 AAOI shares were sold at a weighted average price of $144.79 per share. Individual trades occurred at actual sale prices ranging from $140.69 to $147.99 per share, according to the footnote disclosure.

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

After the reported transaction, AAOI’s CFO Stefan J. Murry directly holds 371,168 shares of common stock. This post-transaction balance reflects his remaining direct ownership following the 4,000-share open-market sale on August 10, 2026.

Was the AAOI CFO’s August 10, 2026 sale made under a 10b5-1 trading plan?

Yes. The filing states the sales were effected under a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2025. Such plans pre-arrange trades, reducing the significance of transaction timing for informational purposes.

What type of security did AAOI’s CFO sell in this Form 4?

The reported transaction involves Common Stock, $.001 par value of APPLIED OPTOELECTRONICS, INC. The Form 4 indicates a non-derivative transaction, specifically an open-market or private sale coded as “S” by the insider.

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Accepted by SEC EDGAR 08/12/2026 - 04:05 PM EDT 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)
08/10/2026

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	08/10/2026		S		4,000(1)	D	$144.79	371,168	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 $140.69 to $147.99 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	08/12/2026
	** 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)