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  4. [Form 4] APPLIED OPTOELECTRONICS, INC. Insider Trading Activity

AAOI (NASDAQ: AAOI) CFO sells shares and withholds stock for taxes

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported selling common stock and a related tax withholding event. He completed an open-market sale of 33,000 shares of common stock on June 12, 2026 at a weighted average price of $166.53 per share, with individual trades priced between $163.78 and $171.8 per share. Separately, 30,330 shares were disposed of to satisfy tax withholding obligations. Following these transactions, Murry held 384,576 shares of APPLIED OPTOELECTRONICS common stock directly.

Positive

  • None.

Negative

  • None.
Insider Murry Stefan J.
Role Chief Financial Officer
Sold 33,000 shs ($5.50M)
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 30,330 $172.78 $5.24M
Sale Common Stock, $.001 par value 33,000 $166.53 $5.50M
Holdings After Transaction: Common Stock, $.001 par value — 417,576 shares (Direct, null)
Footnotes (1)
  1. Consists of shares withheld to satisfy applicable tax withholding obligations. The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 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.
Shares sold 33,000 shares Open-market sale on June 12, 2026
Weighted average sale price $166.53/share Open-market sale on June 12, 2026
Tax withholding shares 30,330 shares Shares withheld to satisfy tax obligations
Tax withholding price $172.78/share Value used for tax-withholding disposition
Post-transaction holdings 384,576 shares Directly held after reported transactions
Sale price range $163.78–$171.8/share Range of prices for June 12, 2026 trades
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.
tax-withholding disposition financial
"transaction_action": "tax-withholding disposition""
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
weighted average sale price financial
"The price reported reflects the weighted average sale price for the transactions."
Form 4 regulatory
"INSIDER FILING DATA (Form 4):"
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/12/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock, $.001 par value06/12/2026F30,330(1)D$172.78417,576D
Common Stock, $.001 par value06/12/2026S33,000(2)D$166.53384,576D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Consists of shares withheld to satisfy applicable tax withholding obligations.
2. The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 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. Murry06/16/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did AAOI’s CFO report on June 12, 2026?

AAOI’s CFO Stefan J. Murry reported an open-market sale of 33,000 common shares on June 12, 2026, plus a separate 30,330-share disposition to cover tax withholding obligations related to equity compensation.

At what prices did AAOI’s CFO sell shares in the June 2026 transaction?

The 33,000 AAOI shares were sold at a weighted average price of $166.53 per share, with individual sales ranging from $163.78 to $171.8 per share, according to the Form 4 disclosure footnote.

How many AAOI shares does the CFO hold after the reported transactions?

After the reported June 12, 2026 transactions, CFO Stefan J. Murry directly holds 384,576 shares of APPLIED OPTOELECTRONICS common stock, as indicated in the post-transaction ownership column of the Form 4 filing.

What role does Stefan J. Murry hold at APPLIED OPTOELECTRONICS (AAOI)?

Stefan J. Murry is the Chief Financial Officer of APPLIED OPTOELECTRONICS, INC. He filed the Form 4 as an officer of the company, reflecting his direct ownership changes in AAOI common stock.