AAOI CFO Form 4: RSU tax withholdings, 291,971 shares remain

Applied Optoelectronics (AAOI) CFO Stefan J. Murry reported automatic share surrenders on 10/22/2025 to cover taxes upon RSU vesting.

Accepted by SEC EDGAR 10/24/2025 - 04:02 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Applied Optoelectronics (AAOI) CFO Stefan J. Murry reported automatic share surrenders on 10/22/2025 to cover taxes upon RSU vesting. Four transactions coded F reflect shares withheld by the issuer at $33.4 per share: 1,865, 2,973, 679, and 989 shares. Following these withholdings, Murry directly beneficially owned 291,971 shares.

The footnotes state each surrender satisfied tax-withholding obligations tied to RSU grants dated June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. The filing is by one reporting person and indicates the transactions were non‑open‑market withholdings associated with vesting.

Insider Trade Summary

Exercise Price or Tax Liability: 6,506 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	1,865	$33.40	$62K
Exercise Price or Tax Liability	Common Stock, $.001 par value	2,973	$33.40	$99K
Exercise Price or Tax Liability	Common Stock, $.001 par value	679	$33.40	$23K
Exercise Price or Tax Liability	Common Stock, $.001 par value	989	$33.40	$33K

Holdings After Transaction: Common Stock, $.001 par value — 291,971 shares (Direct)

Footnotes (4)

1. F1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
2. F2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
3. F3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
4. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.

FAQ

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

What did AAOI's CFO report on Form 4?

Four transactions on 10/22/2025 coded F, reflecting shares surrendered to cover taxes upon RSU vesting at $33.4 per share.

How many AAOI shares were surrendered for tax withholding?

A total of 1,865, 2,973, 679, and 989 shares were withheld across four transactions.

What is the CFO’s AAOI share ownership after these transactions?

Direct beneficial ownership reported as 291,971 shares following the transactions.

What were the RSU grant dates tied to these withholdings?

RSUs were granted on June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025.

What does transaction code F mean on Form 4?

Code F indicates a transaction to pay tax liability by delivering or withholding securities upon vesting of an award.

Was this an open-market sale by AAOI's CFO?

No. The entries reflect withholding by the issuer to satisfy tax obligations upon RSU vesting.

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 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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
10/22/2025

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	10/22/2025		F		1,865(1)	D	$33.4	296,612	D
Common Stock, $.001 par value	10/22/2025		F		2,973(2)	D	$33.4	293,639	D
Common Stock, $.001 par value	10/22/2025		F		679(3)	D	$33.4	292,960	D
Common Stock, $.001 par value	10/22/2025		F		989(4)	D	$33.4	291,971	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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.

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

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

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

	/s/ David C. Kuo, attorney in fact for Stefan J. Murry	10/24/2025
	** 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.