Applied Optoelectronics (AAOI) CFO sells 4,000 shares in pre-set plan

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. Chief Financial Officer Stefan J. Murry sold 4,000 shares of common stock in an open-market transaction at a weighted average price of $112.7611 per share. The sale took place on March 10, 2026.

The trades were executed under a pre-arranged Rule 10b5-1 trading plan adopted on August 12, 2025, indicating the sales were scheduled in advance. After this transaction, Murry directly holds 280,070 shares of the company’s common stock.

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
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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 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)
03/10/2026

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	03/10/2026		S		4,000(1)	D	$112.7611	280,070	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 $112.520 to $113.250 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	03/10/2026
	** 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.

FAQ

What insider transaction did AAOI report for its CFO?

Applied Optoelectronics disclosed that CFO Stefan J. Murry sold 4,000 shares of common stock. The sale was an open-market transaction executed at a weighted average price of $112.7611 per share on March 10, 2026, under a pre-arranged Rule 10b5-1 trading plan.

At what price did the AAOI CFO sell shares in the latest Form 4?

The CFO’s reported sale used a weighted average price of $112.7611 per share. Individual trades occurred within a range from $112.520 to $113.250 per share, reflecting multiple executions grouped into a single reported transaction on the Form 4.

How many AAOI shares does the CFO hold after this transaction?

Following the sale, CFO Stefan J. Murry directly owns 280,070 shares of Applied Optoelectronics common stock. This post-transaction holding figure is reported in the Form 4 and shows his remaining equity stake after selling 4,000 shares on March 10, 2026.

Was the AAOI CFO’s March 2026 share sale under a Rule 10b5-1 plan?

Yes. The filing notes the sales were effected under a Rule 10b5-1 trading plan adopted on August 12, 2025. Such plans pre-schedule trades, indicating the timing of this 4,000-share sale was determined in advance rather than as a discretionary market decision.

What type of transaction code appears in the AAOI CFO’s Form 4?

The transaction is coded “S,” indicating a sale in the open market or a private transaction. The Form 4 further describes it as an open-market sale of 4,000 shares of common stock at a weighted average price of $112.7611 per share.