Applied Optoelectronics officer surrenders shares for taxes

Applied Optoelectronics, Inc. reported that Senior Vice President and Chief Legal Officer David C. Kuo surrendered a total of 3,264 shares of common stock on July 22, 2026 at 119.2600 per share.

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. reported that Senior Vice President and Chief Legal Officer David C. Kuo surrendered a total of 3,264 shares of common stock on July 22, 2026 at 119.2600 per share. The four transactions were share surrenders to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.

Insider Trade Summary

Tax Withholding: 3,264 shares

Tax Withholding 4 txns

Insider Kuo David C

Role *** See Remarks

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock, $.001 par value F1	1,869	$119.26	$223K
Tax Withholding	Common Stock, $.001 par value F2	472	$119.26	$56K
Tax Withholding	Common Stock, $.001 par value F3	516	$119.26	$62K
Tax Withholding	Common Stock, $.001 par value F4	407	$119.26	$49K

Holdings After Transaction: Common Stock, $.001 par value — 145,814 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 26, 2023.
2. F2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
3. F3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
4. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Key Figures

Total shares surrendered for taxes: 3,264 shares Price per share for tax-withholding transactions: 119.2600 per share Shares surrendered from 2023 RSU grant: 1,869 shares +3 more

6 metrics

Total shares surrendered for taxes 3,264 shares Aggregate common shares surrendered on 2026-07-22 to satisfy tax-withholding obligations

Price per share for tax-withholding transactions 119.2600 per share Per-share price applied to all four common stock dispositions on 2026-07-22

Shares surrendered from 2023 RSU grant 1,869 shares Shares surrendered upon vesting of restricted stock unit award granted on June 26, 2023

Shares surrendered from 2024 RSU grant 472 shares Shares surrendered upon vesting of restricted stock unit award granted on April 29, 2024

Shares surrendered from 2025 RSU grant 516 shares Shares surrendered upon vesting of restricted stock unit award granted on April 11, 2025

Shares surrendered from 2026 RSU grant 407 shares Shares surrendered upon vesting of restricted stock unit award granted on February 9, 2026

Key Terms

restricted stock unit award, tax-withholding obligations, Common Stock, $.001 par value, Payment of tax liability by delivering or withholding securities

4 terms

restricted stock unit award financial

"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023."

A restricted stock unit award is a promise by a company to give an employee a specified number of company shares at a future date if certain conditions are met, such as staying with the company or hitting performance goals. For investors, these awards matter because they can increase the total number of shares outstanding when converted, diluting existing holders, and they align employees’ incentives with shareholders’ interests much like giving a rising bonus that becomes real only after conditions are satisfied.

tax-withholding obligations financial

"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024."

Common Stock, $.001 par value financial

"security_title: Common Stock, $.001 par value"

Payment of tax liability by delivering or withholding securities financial

"transaction_code_description: Payment of tax liability by delivering or withholding securities"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Applied Optoelectronics (AAOI) report for David C. Kuo?

Applied Optoelectronics reported that CLO David C. Kuo surrendered 3,264 common shares on July 22, 2026. The shares were delivered back to the issuer to satisfy tax-withholding obligations arising from the vesting of multiple restricted stock unit awards.

How many AAOI shares did David C. Kuo surrender and at what price?

David C. Kuo surrendered a total of 3,264 Applied Optoelectronics shares at 119.2600 per share. These dispositions were coded as F transactions, reflecting payment of tax liabilities through the delivery or withholding of securities rather than ordinary purchase or sale activity.

What does transaction code F mean in the AAOI Form 4 for David C. Kuo?

In this AAOI Form 4, code F indicates payment of a tax liability by delivering or withholding securities. Each entry notes that the surrendered shares were used to satisfy tax-withholding obligations related to vesting restricted stock unit awards held by David C. Kuo.

Which RSU grants triggered the AAOI tax-withholding share surrenders?

The share surrenders for AAOI were tied to RSU awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026. As each award vested, a portion of the resulting shares was surrendered to cover associated tax-withholding obligations.

Is David C. Kuo a 10% owner of Applied Optoelectronics (AAOI)?

David C. Kuo is identified as an officer, serving as Senior Vice President and Chief Legal Officer of AAOI. In this Form 4, he is not flagged as a ten percent owner, and the report focuses solely on his tax-withholding-related share surrenders.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 07/23/2026 - 05:12 PM Accepted by SEC EDGAR 07/23/2026 - 05:12 PM Learn about SEC filing dates

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 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)
	*** See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/22/2026

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	07/22/2026		F		1,869(1)	D	$119.26	147,209	D
Common Stock, $.001 par value	07/22/2026		F		472(2)	D	$119.26	146,737	D
Common Stock, $.001 par value	07/22/2026		F		516(3)	D	$119.26	146,221	D
Common Stock, $.001 par value	07/22/2026		F		407(4)	D	$119.26	145,814	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 26, 2023.

2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.

3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.

4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Remarks:

***Senior Vice President and Chief Legal Officer

	/s/ David C. Kuo	07/23/2026
	** 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)