AAOI CFO sells 4,000 shares in planned trade

APPLIED OPTOELECTRONICS, INC.

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry sold shares of company stock in a planned transaction. He executed an open-market sale of 4,000 shares of common stock at a weighted average price of $136.5035 per share. After this sale, he directly held 276,070 shares. The trades were completed under a pre-arranged Rule 10b5-1 trading plan, meaning the sales were scheduled in advance rather than timed discretionarily.

Insider Trade Summary 10b5-1

Net Seller: 4,000 shares

Net Sell 1 txn

Insider Murry Stefan J.

Role Chief Financial Officer

Sold 4,000 shs ($546K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	4,000	$136.5035	$546K

Holdings After Transaction: Common Stock, $.001 par value — 276,070 shares (Direct)

Footnotes (1)

1. F1. 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 $134.02 to $140.20 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.

Key Figures

Shares sold: 4,000 shares Weighted average sale price: $136.5035 per share Shares held after sale: 276,070 shares +1 more

4 metrics

Shares sold 4,000 shares Open-market sale of common stock

Weighted average sale price $136.5035 per share Price for 4,000 shares sold

Shares held after sale 276,070 shares Direct holdings after transaction

Sale price range $134.02–$140.20 per share Multiple transactions on trade date

Key Terms

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

4 terms

Rule 10b5-1 trading plan regulatory

"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.

non-derivative financial

"transaction_type: "non-derivative""

FAQ

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

What insider transaction did AAOI CFO Stefan J. Murry report on this Form 4?

AAOI’s CFO Stefan J. Murry reported an open-market sale of 4,000 shares of common stock. The weighted average sale price was $136.5035 per share, and the transaction involved non-derivative common stock with direct ownership reported after the sale.

How many APPLIED OPTOELECTRONICS (AAOI) shares does the CFO hold after the sale?

Following the reported transaction, the CFO directly holds 276,070 shares of AAOI common stock. This figure, disclosed in the filing, helps investors understand that the 4,000 shares sold represent a relatively small portion of his overall direct holdings.

At what price did the AAOI CFO sell his shares in this Form 4 filing?

The filing reports a weighted average sale price of $136.5035 per share for the 4,000 shares sold. Footnotes explain that the actual sale prices ranged from $134.02 to $140.20, across multiple transactions executed on the same trade date.

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

Yes. The footnote states these sales were effected under a Rule 10b5-1 trading plan adopted by the reporting person. Such plans pre-schedule trades, indicating the timing of these sales was pre-arranged rather than discretionary by the insider.

Does the AAOI Form 4 indicate any derivative security exercises by the CFO?

No derivative exercises are reported in this Form 4. The transaction involves only non-derivative common stock classified as an open-market sale, and the derivative summary section in the data is empty, showing no remaining derivative positions in this particular disclosure.

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

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Accepted by SEC EDGAR 04/14/2026 - 04:05 PM EDT 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).

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)
04/10/2026

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	04/10/2026		S		4,000(1)	D	$136.5035	276,070	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 $134.02 to $140.20 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	04/14/2026
	** 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)