AAOI insider Form 4: RSU tax surrenders; 143,448 shares held

Applied Optoelectronics (AAOI) officer David C. Kuo reported administrative insider transactions on Form 4.

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

Rhea-AI Filing Summary

Applied Optoelectronics (AAOI) officer David C. Kuo reported administrative insider transactions on Form 4. On 10/22/2025, he surrendered shares to the issuer under transaction code F to cover tax withholding upon the vesting of previously granted RSUs. The reported surrender amounts were 1,066, 1,869, 472, and 516 shares, each at a price of $33.4 per share. Following these withholding-related transactions, his beneficial ownership stood at 143,448 shares, held directly.

Insider Trade Summary

Exercise Price or Tax Liability: 3,923 shares

Exercise Price or Tax Liability 4 txns

Insider Kuo David C

Role *** See Remarks

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock, $.001 par value	1,066	$33.40	$36K
Exercise Price or Tax Liability	Common Stock, $.001 par value	1,869	$33.40	$62K
Exercise Price or Tax Liability	Common Stock, $.001 par value	472	$33.40	$16K
Exercise Price or Tax Liability	Common Stock, $.001 par value	516	$33.40	$17K

Holdings After Transaction: Common Stock, $.001 par value — 143,448 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 insider report on Form 4?

David C. Kuo reported share surrenders under code F to satisfy tax withholding upon RSU vesting on 10/22/2025.

Which AAOI officer filed the Form 4?

The filing was made by David C. Kuo, Senior Vice President and Chief Legal Officer.

What were the share amounts surrendered for tax withholding?

Reported amounts: 1,066, 1,869, 472, and 516 shares.

What price was reported for these transactions?

Each entry shows a price of $33.4 per share.

How many AAOI shares does the insider own after the transactions?

Beneficial ownership after the reported transactions is 143,448 shares, held directly.

What does transaction code F indicate in this context?

Code F indicates shares were surrendered to the issuer to satisfy tax-withholding obligations upon RSU vesting, per the explanations provided.

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 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)
	*** See Remarks

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		1,066(1)	D	$33.4	146,305	D
Common Stock, $.001 par value	10/22/2025		F		1,869(2)	D	$33.4	144,436	D
Common Stock, $.001 par value	10/22/2025		F		472(3)	D	$33.4	143,964	D
Common Stock, $.001 par value	10/22/2025		F		516(4)	D	$33.4	143,448	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.

Remarks:

***Senior Vice President and Chief Legal Officer

	/s/ David C. Kuo	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.