Applied Optoelectronics (NASDAQ: AAOI) CFO sale under 10b5-1 plan

Rhea-AI Filing Summary

Applied Optoelectronics Chief Financial Officer Stefan J. Murry reported an open-market sale of 4,000 shares of common stock at a weighted average price of $171.45 per share on June 10, 2026.

The filing states these sales were made under a pre-arranged Rule 10b5-1 trading plan. After the transaction, Murry directly holds 447,906 shares of Applied Optoelectronics common stock, indicating he retains a substantial equity position in the company.

Insider Trade Summary 10b5-1

Net Seller: 4,000 shares ($685,800)

Net Sell 1 txn

Insider Murry Stefan J.

Role Chief Financial Officer

Sold 4,000 shs ($686K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	4,000	$171.45	$686K

Holdings After Transaction: Common Stock, $.001 par value — 447,906 shares (Direct, null)

Footnotes (1)

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Key Figures

Shares sold: 4,000 shares Weighted average sale price: $171.45 per share Post-transaction holdings: 447,906 shares +1 more

4 metrics

Shares sold 4,000 shares Open-market sale on June 10, 2026

Weighted average sale price $171.45 per share Common stock sale on June 10, 2026

Post-transaction holdings 447,906 shares Shares directly held after the reported sale

Sale price range $168.76–$174.59 per share Range of actual sale prices for the transactions

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, open-market sale

3 terms

Rule 10b5-1 trading plan financial

"These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

weighted average sale price financial

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

open-market sale financial

"transaction_action: open-market sale"

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.

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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).

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 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)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/10/2026

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	06/10/2026		S		4,000(1)	D	$171.45	447,906	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 $168.76 to $174.59 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	06/11/2026
	** 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)

FAQ

What insider transaction did AAOI’s CFO report on this Form 4?

AAOI’s Chief Financial Officer Stefan J. Murry reported selling 4,000 shares of common stock. The sale was an open-market transaction at a weighted average price of $171.45 per share, documented in a Form 4 insider trading report.

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

The CFO’s reported sales used a weighted average price of $171.45 per share. Actual sale prices for individual trades ranged from $168.76 to $174.59, according to the filing’s detailed footnote disclosure of the transaction range.

How many AAOI shares does the CFO hold after this reported sale?

After selling 4,000 shares, AAOI’s CFO directly holds 447,906 shares of common stock. This post-transaction balance shows he maintains a significant ownership stake even after completing the disclosed open-market sale covered in the Form 4.

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

Yes. The filing states the sales were effected under a Rule 10b5-1 trading plan adopted by the reporting person. Such pre-arranged plans automate trading, reducing the significance of short-term market timing decisions behind the transactions.

What does a net-sell direction mean in AAOI’s Form 4 summary?

Net-sell direction means the insider’s reported activity resulted in more shares sold than acquired. In this case, the CFO sold 4,000 shares and acquired none, so the transactionSummary shows net-sell based on the share count balance in the filing.