Were the AAOI CFO’s Form 4 transactions open-market sales or tax-related?

They were tax-related dispositions, not open-market sales. Each entry uses transaction code F and related footnotes explain the shares were surrendered to Applied Optoelectronics solely to satisfy tax-withholding obligations upon vesting of restricted stock unit awards.

Applied Optoelectronics CFO reports tax withholding

APPLIED OPTOELECTRONICS, INC.

Accepted by SEC EDGAR 04/24/2026 - 04:02 PM EDT

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Form Type

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported routine share dispositions tied to equity compensation taxes. On April 22, 2026, he surrendered a total of 5,944 shares of common stock at $150.57 per share to the company to satisfy tax-withholding obligations upon the vesting of several restricted stock unit awards granted between June 26, 2023 and February 9, 2026. After these tax-withholding transactions, he directly holds 270,126 shares, indicating these were compensation-related, not open-market sales.

Insider Trade Summary

Exercise Price or Tax Liability: 5,944 shares

Exercise Price or Tax Liability 4 txns

Insider Murry Stefan J.

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock, $.001 par value	3,266	$150.57	$492K
Exercise Price or Tax Liability	Common Stock, $.001 par value	746	$150.57	$112K
Exercise Price or Tax Liability	Common Stock, $.001 par value	1,086	$150.57	$164K
Exercise Price or Tax Liability	Common Stock, $.001 par value	846	$150.57	$127K

Holdings After Transaction: Common Stock, $.001 par value — 270,126 shares (Direct)

Footnotes (4)

F1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
F2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
F3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Key Figures

Shares surrendered for taxes: 5,944 shares Implied share value: $150.57 per share Shares held after transactions: 272,804 shares +1 more

4 metrics

Shares surrendered for taxes 5,944 shares Tax-withholding dispositions on April 22, 2026

Implied share value $150.57 per share Value used for tax-withholding share surrenders

Shares held after transactions 272,804 shares Direct common stock holdings following tax-withholding

Individual tax lots 846 / 1,086 / 746 / 3,266 shares Four Form 4 line items of tax-withholding dispositions

Key Terms

restricted stock unit, tax-withholding obligations, transaction code F, Common Stock, $.001 par value, +1 more

5 terms

restricted stock unit financial

"upon the vesting of restricted stock unit award granted on June 26, 2023"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

tax-withholding obligations financial

"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting"

transaction code F regulatory

"transaction_code": "F","transaction_type": "non-derivative""

Common Stock, $.001 par value financial

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

Chief Financial Officer financial

"officer_title": "Chief Financial Officer""

A Chief Financial Officer (CFO) is the person in charge of a company's money and financial planning. They decide how to spend, save, and invest funds to help the company grow and stay stable. Their role is important because good financial decisions keep the company healthy and successful.

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?

The CFO reported share dispositions used for tax withholding, not open-market sales. On April 22, 2026, he surrendered 5,944 Applied Optoelectronics common shares back to the company to cover taxes due upon vesting of multiple restricted stock unit awards.

How many AAOI shares were surrendered for tax withholding by the CFO?

He surrendered a total of 5,944 Applied Optoelectronics common shares. These were reported in four separate Form 4 line items and reflect shares delivered to the issuer to satisfy tax-withholding obligations tied to restricted stock unit vesting events.

At what price were the AAOI tax-withholding shares valued on the Form 4?

The Form 4 lists a price of $150.57 per Applied Optoelectronics share. This value is used to determine the number of shares needed to satisfy the CFO’s tax-withholding obligations when his restricted stock units vested on April 22, 2026.

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

Following the reported tax-withholding dispositions, the CFO directly holds 272,804 Applied Optoelectronics common shares. This figure shows his remaining equity position after delivering 5,944 shares back to the issuer to cover tax obligations from vesting restricted stock units.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

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)
04/22/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $.001 par value	04/22/2026		F		3,266⁽¹⁾	D	$150.57	272,804	D
Common Stock, $.001 par value	04/22/2026		F		746⁽²⁾	D	$150.57	272,058	D
Common Stock, $.001 par value	04/22/2026		F		1,086⁽³⁾	D	$150.57	270,972	D
Common Stock, $.001 par value	04/22/2026		F		846⁽⁴⁾	D	$150.57	270,126	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.

2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.

3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.

4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

	/s/ David C. Kuo, attorney in fact for Stefan J. Murry	04/24/2026
	** 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)

Source: View Original Filing on SEC EDGAR