Applied Optoelectronics Form 4: CFO Disposes of 12,000 Shares

Rhea-AI Filing Summary

Applied Optoelectronics insider sale summary: The Form 4 shows that Stefan J. Murry, the company's Chief Financial Officer, sold 12,000 shares of Applied Optoelectronics, Inc. (AAOI) on 08/15/2025 at a weighted average sale price of $22.37 per share. After the reported sales, Mr. Murry beneficially owned 298,477 shares. The filing states the shares were sold in multiple transactions with prices ranging from $22.11 to $22.69 and that the reported price is a weighted average. The form is signed by an attorney-in-fact for Mr. Murry.

Positive

• Timely and complete Section 16 disclosure including transaction date, weighted average price range, and post-transaction holdings
• Explanatory note offering to provide transaction-level details on request, aiding transparency

Negative

• Insider disposition of 12,000 shares by the CFO, which reduced direct holdings to 298,477 shares
• No Rule 10b5-1 plan indicated in the filing, so the sale is not explicitly documented as pre-planned in this form

Insights

Financial Analyst

TL;DR: CFO sold 12,000 AAOI shares; post-sale holdings remain material but sale size is modest relative to total outstanding shares.

The Form 4 documents a straightforward insider disposition by the CFO of 12,000 common shares at a weighted average price of $22.37 on 08/15/2025, leaving 298,477 shares beneficially owned. This is a routine Section 16 disclosure showing compliance with reporting rules. The filing discloses the price range ($22.11–$22.69) and notes multiple transactions aggregated into a weighted average price. There are no derivative transactions or additional compensatory equity events reported.

Corporate Governance Expert

TL;DR: Disclosure appears complete and signed by an attorney-in-fact; sale is a normal insider transaction without disclosed plan details.

The filing includes the required details for the insider sale, including transaction date, aggregate share amount sold, weighted average price, and resulting beneficial ownership. It also contains an explanatory note that the shares were sold in multiple transactions and that further breakdowns are available upon request. The form is executed by an attorney-in-fact, which is permissible under Section 16 filings. The report does not indicate a Rule 10b5-1 plan or other arrangement on its face.

Insider Trade Summary

Net Seller: 12,000 shares ($268,440)

Net Sell 1 txn

Insider Murry Stefan J.

Role Chief Financial Officer

Sold 12,000 shs ($268K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	12,000	$22.37	$268K

Holdings After Transaction: Common Stock, $.001 par value — 298,477 shares (Direct)

Footnotes (1)

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Form 4 Insider Transactions: What Each Field Means →

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)
08/15/2025

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	08/15/2025		S		12,000(1)	D	$22.37	298,477	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. The shares were sold in multiple transactions on August 15, 2025, at sale prices ranging from $22.11 to $22.69 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	08/15/2025
	** 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.

FAQ

What did AAOI insider Stefan J. Murry report on Form 4?

He reported selling 12,000 shares on 08/15/2025 at a weighted average price of $22.37, leaving him with 298,477 shares beneficially owned.

What price range was reported for the AAOI insider sale?

Sale prices ranged from $22.11 to $22.69 and the form reports a weighted average sale price of $22.37.

Does the Form 4 indicate a 10b5-1 trading plan for the sale?

No. The filing does not check or state that the transaction was made pursuant to a Rule 10b5-1 plan.

Who signed the Form 4 for Stefan J. Murry?

David C. Kuo, attorney-in-fact signed the Form 4 on behalf of Stefan J. Murry on 08/15/2025.

How many shares did the insider own after the sale?

298,477 shares beneficially owned following the reported transactions.