AAOI (AAOI) CFO reports RSU grant and open-market share sales

Rhea-AI Filing Summary

Applied Optoelectronics Chief Financial Officer Stefan J. Murry reported both a stock award and share sales. On February 9, 2026, he acquired 32,249 shares of common stock for $0.00 per share as Restricted Stock Units that vest in sixteen equal quarterly installments starting January 21, 2026. On February 10–11, 2026, he sold a total of 18,020 shares in open-market transactions at weighted average prices between about $48.68 and $50.25, under a Rule 10b5-1 trading plan adopted on August 12, 2025. After these transactions, he directly owned 290,050 shares of Applied Optoelectronics 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
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 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)
02/09/2026

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	02/09/2026		A		32,249(1)	A	$0.00	308,070	D
Common Stock, $.001 par value	02/10/2026		S		4,000(2)	D	$48.6788	304,070	D
Common Stock, $.001 par value	02/10/2026		S		2,327(3)	D	$50.0013	301,743	D
Common Stock, $.001 par value	02/11/2026		S		11,693(4)	D	$50.2541	290,050	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 Restricted Stock Units (RSUs) were granted under the Company's Amended and Restated 2021 Equity Incentive Plan, one-sixteen of the RSUs vest every three months commencing on January 21, 2026.

2. 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 $47.910 to $49.170 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.

3. 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 $50.000 to $50.040 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.

4. 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 $50.000 to $50.540 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	02/11/2026
	** 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.

FAQ

What insider transactions did AAOI CFO Stefan Murry report on this Form 4?

Stefan Murry reported receiving 32,249 shares via Restricted Stock Units and selling 18,020 shares of Applied Optoelectronics common stock in open-market transactions. The activity occurred between February 9 and February 11, 2026, and was reported as direct ownership changes.

How many AAOI shares did the CFO acquire through equity awards?

The CFO acquired 32,249 shares of Applied Optoelectronics common stock at $0.00 per share through Restricted Stock Units. These RSUs were granted under the Amended and Restated 2021 Equity Incentive Plan and vest in sixteen equal quarterly installments beginning January 21, 2026.

How many AAOI shares did the CFO sell, and at what prices?

The CFO sold a total of 18,020 shares of Applied Optoelectronics common stock. Weighted average sale prices ranged from $48.6788 to $50.2541 per share, with individual sale price ranges detailed in the filing and all sales executed in multiple open-market transactions.

Were Stefan Murry’s AAOI share sales made under a Rule 10b5-1 plan?

Yes. Each reported sale was executed under a Rule 10b5-1 trading plan adopted by Stefan Murry on August 12, 2025. The filing notes that individual sale prices varied within specified ranges for each transaction date, with reported prices reflecting weighted averages.

How many AAOI shares does the CFO own after these transactions?

Following the reported grant and subsequent sales, the CFO directly owned 290,050 shares of Applied Optoelectronics common stock. This figure reflects the balance after the February 9 Restricted Stock Unit acquisition and the open-market sales reported on February 10 and February 11, 2026.

How do the granted AAOI RSUs vest for the CFO?

The 32,249 Restricted Stock Units vest in sixteen equal installments. One‑sixteenth of the RSUs vests every three months, starting on January 21, 2026, under the company’s Amended and Restated 2021 Equity Incentive Plan, gradually delivering shares to the CFO over the vesting schedule.