Applied Optoelectronics (AAOI) CFO sells 4,000 shares under 10b5-1 plan

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Murry Stefan J. reported an open-market sale of 4,000 shares of common stock on July 10, 2026 at a weighted-average price of $122.09 per share under a Rule 10b5-1 trading plan, leaving 380,576 shares directly owned.

Insider Trade Summary 10b5-1

Net Seller: 4,000 shares ($488,360)

Net Sell 1 txn

Insider Murry Stefan J.

Role Chief Financial Officer

Sold 4,000 shs ($488K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	4,000	$122.09	$488K

Holdings After Transaction: Common Stock, $.001 par value — 380,576 shares (Direct)

Footnotes (1)

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Key Figures

Shares sold: 4,000 shares Weighted-average sale price: $122.09 per share Sale price range: $120.00–$124.29 per share +3 more

6 metrics

Shares sold 4,000 shares Open-market sale on July 10, 2026 by the Chief Financial Officer

Weighted-average sale price $122.09 per share Weighted average price for 4,000 AAOI shares sold in multiple transactions

Sale price range $120.00–$124.29 per share Range of actual sale prices across the individual transactions

Shares owned after sale 380,576 shares Direct common stock holdings of the CFO following the reported transaction

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

Net shares sold in filing 4,000 shares Net insider selling reported in this Form 4, per transaction summary

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, open-market sale, par value

4 terms

Rule 10b5-1 trading plan regulatory

"These sales were effected pursuant to a Rule 10b5-1 trading plan"

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"

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.

par value financial

"Common Stock, $.001 par value"

Par value is the fixed amount printed on a bond or stock that represents its original value when issued. It’s like the face value of a coin or bill—what the issuer promises to pay back or the starting price of a stock—though it often doesn’t change with market prices. It matters because it helps determine certain financial details, like how much the company will pay back at maturity.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/14/2026 - 05:01 PM Accepted by SEC EDGAR 07/14/2026 - 05:01 PM Learn about SEC filing dates

FAQ

What insider transaction did AAOI's Chief Financial Officer report?

APPLIED OPTOELECTRONICS, INC. CFO Murry Stefan J. reported an open-market sale of 4,000 common shares. The transaction occurred on July 10, 2026 at a weighted-average price of $122.09 per share under a previously adopted Rule 10b5-1 trading plan.

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

The CFO sold 4,000 AAOI common shares at a weighted-average price of $122.09 per share. According to the footnote, individual sale prices ranged from $120.00 to $124.29 across multiple transactions executed on the same date.

Does the AAOI CFO still hold shares after this reported sale?

Yes. After selling 4,000 shares, the CFO directly holds 380,576 AAOI common shares. This figure reflects his direct ownership position immediately following the July 10, 2026 open-market sale disclosed in the Form 4 filing.

Was the AAOI CFO stock sale made under a Rule 10b5-1 plan?

Yes. The filing states these sales were effected under a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2025. Such plans allow pre-arranged trading according to specified conditions, reducing the significance of trade timing signals.

What was the price range for the AAOI CFO’s share sales?

The Form 4 notes that the CFO’s AAOI shares were sold in multiple transactions at prices ranging from $120.00 to $124.29 per share. The reported transaction price of $122.09 represents the weighted-average sale price for those trades.

What type of security did the AAOI CFO sell in this transaction?

The transaction involved Common Stock, $.001 par value of APPLIED OPTOELECTRONICS, INC. The sale was classified as an open-market transaction and did not involve any derivative securities or option exercises in this particular Form 4 filing.

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)
07/10/2026

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	07/10/2026		S		4,000(1)	D	$122.09	380,576	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 $120.00 to $124.29 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	07/14/2026
	** 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)