AAOI officer Kuo sells 29,227 shares in open market

APPLIED OPTOELECTRONICS, INC. officer David C. Kuo reported an insider sale and tax-related share withholding.

Accepted by SEC EDGAR 06/16/2026 - 04:51 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer David C. Kuo reported an insider sale and tax-related share withholding. He completed an open-market sale of 29,227 shares of common stock at a weighted average price of $166.53 per share. In a separate transaction, 19,065 shares were withheld to satisfy tax withholding obligations at $172.78 per share.

Insider Trade Summary

Net Seller: 29,227 shares

Net Sell 2 txns

Insider Kuo David C

Role *** See Remarks

Sold 29,227 shs ($4.87M)

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock, $.001 par value	19,065	$172.78	$3.29M
Sale	Common Stock, $.001 par value	29,227	$166.53	$4.87M

Holdings After Transaction: Common Stock, $.001 par value — 149,078 shares (Direct)

Footnotes (2)

1. F1. Consists of shares withheld to satisfy applicable tax withholding obligations.
2. F2. The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 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

Open-market shares sold: 29,227 shares Weighted average sale price: $166.53 per share Tax-withholding shares: 19,065 shares +1 more

4 metrics

Open-market shares sold 29,227 shares Common Stock sale on June 12, 2026

Weighted average sale price $166.53 per share Open-market sale of common stock

Tax-withholding shares 19,065 shares Shares withheld to satisfy tax obligations

Tax-withholding price $172.78 per share Disposition to cover tax liability

Key Terms

open-market sale, tax-withholding disposition, Common Stock, $.001 par value, weighted average sale price

4 terms

open-market sale financial

"transaction_action: "open-market sale" for 29,227 common shares"

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" for 19,065 shares"

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.

Common Stock, $.001 par value financial

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

weighted average sale price financial

"The price reported reflects the weighted average sale price for the transactions."

FAQ

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

What insider transactions did AAOI officer David C. Kuo report on this Form 4?

David C. Kuo reported two transactions involving APPLIED OPTOELECTRONICS, INC. common stock. He sold 29,227 shares in an open-market transaction and had 19,065 shares withheld to cover tax obligations, both dated June 12, 2026.

How many APPLIED OPTOELECTRONICS (AAOI) shares did David C. Kuo sell and at what price?

David C. Kuo sold 29,227 shares of APPLIED OPTOELECTRONICS, INC. common stock in an open-market transaction at a weighted average price of $166.53 per share on June 12, 2026, across multiple individual trades.

What was the purpose of the 19,065 AAOI shares disposed of by David C. Kuo?

The 19,065 shares were not market sales but shares withheld to satisfy applicable tax withholding obligations. This tax-withholding disposition occurred at $172.78 per share and reflects shares delivered to cover taxes rather than discretionary selling.

Were David C. Kuo’s AAOI share sales executed in a single trade or multiple trades?

The sale of APPLIED OPTOELECTRONICS, INC. shares occurred in multiple transactions on June 12, 2026, at prices ranging from $163.78 to $171.8 per share. The Form 4 reports a weighted average sale price of $166.53 per share.

Does the AAOI Form 4 indicate any derivative securities or option exercises for David C. Kuo?

The Form 4 transactions for David C. Kuo involve only non-derivative common stock. The summary of derivative positions is empty, and there are no option exercises or conversions reported in this filing.

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^*

Kuo David C

(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)
	*** See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/12/2026

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	06/12/2026		F		19,065(1)	D	$172.78	178,305	D
Common Stock, $.001 par value	06/12/2026		S		29,227(2)	D	$166.53	149,078	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. Consists of shares withheld to satisfy applicable tax withholding obligations.

2. The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 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.

Remarks:

***Senior Vice President and Chief Legal Officer

	/s/ David C. Kuo	06/16/2026
	** 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)