Applied Optoelectronics, Inc. filings document the operations, governance and capital structure of a Nasdaq-listed manufacturer of optical and HFC networking products. Its Form 8-K reports cover operating and financial results, changes in the certifying accountant, material definitive agreements, and financing arrangements tied to common stock issuance.
Proxy materials describe board elections, auditor ratification, advisory executive compensation votes, certificate-of-incorporation amendments, and equity incentive plan matters. Other material-event filings address agreements supporting manufacturing infrastructure, including cleanroom design-build work, and identify the company’s common stock registered on the Nasdaq Global Market.
Applied Optoelectronics, Inc. (AAOI) is asking stockholders at its June 4, 2026 annual meeting to elect two Class I directors, ratify Grant Thornton LLP as auditor for 2026, approve an advisory say-on-pay vote, amend its certificate of incorporation to clarify future voting standards, approve a 2026 equity incentive plan, and permit adjournment if needed. The proxy highlights a classified, majority-independent board with a lead independent director and fully independent key committees. Executive pay is heavily performance-based: in 2025 the CEO’s target direct compensation of $7.43M was about 90% variable, using annual cash incentives tied to revenue, non-GAAP operating income, and design wins, plus PSUs linked to three-year relative and absolute TSR and RSUs for retention. 2025 revenue reached $455.7M versus a $375M target, contributing to a 104.79% annual bonus funding outcome. Stockholders previously supported say-on-pay with 97.45% of votes cast. Audit fees to Grant Thornton were $1.82M in 2025. The filing also emphasizes succession planning, a clawback policy, stock ownership guidelines, and limits on perquisites.
APPLIED OPTOELECTRONICS, INC. President and CEO Chih-Hsiang (Thompson) Lin reported several compensation-related share dispositions tied to tax withholding, not open-market trading. On April 22, 2026, a total of 16,672 shares of common stock were surrendered back to the company at $150.57 per share to satisfy tax-withholding obligations upon the vesting of four restricted stock unit awards granted between June 26, 2023 and February 9, 2026. After these transactions, Lin continues to hold approximately 1,688,605 shares of common stock directly.
APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) reported routine share dispositions tied to tax withholding. On April 22, 2026, he surrendered a total of 5,140 shares of common stock at $150.57 per share to the company to cover tax obligations on vesting restricted stock units granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.
These F‑code transactions are tax-withholding dispositions, not open‑market sales, and reflect compensation-related mechanics. After these entries, Chang directly holds 228,478 shares of common stock.
APPLIED OPTOELECTRONICS, INC. officer David C. Kuo reported routine tax-related share dispositions. On April 22, 2026, he surrendered a total of 3,585 shares of common stock at $150.57 per share to the company to cover tax-withholding obligations tied to vesting restricted stock units granted in 2023, 2024, 2025, and 2026. These Form 4 transactions (code F) reflect compensation-related tax payments rather than open-market stock sales, and Kuo continues to hold a direct equity position in the company.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported routine share dispositions tied to equity compensation taxes. On April 22, 2026, he surrendered a total of 5,944 shares of common stock at $150.57 per share to the company to satisfy tax-withholding obligations upon the vesting of several restricted stock unit awards granted between June 26, 2023 and February 9, 2026. After these tax-withholding transactions, he directly holds 270,126 shares, indicating these were compensation-related, not open-market sales.
APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported four compensation-related share dispositions. On April 22, 2026, a total of 4,709 shares of common stock were surrendered at $150.57 per share to cover tax-withholding obligations.
Footnotes explain these shares were delivered back to the company upon the vesting of restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026. These are tax-withholding transactions, not open-market sales.
Applied Optoelectronics, Inc. is soliciting proxies for its 2026 Annual Meeting to be held at its Sugar Land, Texas headquarters. Stockholders will vote to elect two Class I directors (including nominee Robert Flanagan), ratify Grant Thornton LLP as auditor, approve say-on-pay, approve an amendment clarifying future amendment voting standards, approve a 2026 equity incentive plan, and act on adjournment. The Board recommends FOR all proposals. The proxy includes executive compensation detail, governance policies, committee descriptions, and 2025 performance metrics including $455.7 million in 2025 revenue.
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.
Applied Optoelectronics, Inc. entered into a Purchase and Sale Agreement to acquire two industrial properties in Pearland, Texas for $58,428,612.00. The sites at 14621 Kirby Drive and 11555 North Spectrum Boulevard total approximately 388,133 square feet and are intended for office, warehouse, manufacturing, and assembly use.
The Company must deposit $1,168,512.00 with the title company within three business days after signing. Closing is scheduled for April 17, 2026, with a Company option to accelerate the date by written notice. The agreement includes customary representations, warranties, covenants, closing conditions, risk allocation provisions, and termination rights, including rights tied to specified title issues, casualty or condemnation events, and failures of closing conditions.
Applied Optoelectronics, Inc. (AAOI) officer Stefan John Murry reported a proposed sale of 4,000 common shares, with an aggregate market value of $546,014 and an approximate sale date of April 10, 2026.
The proposed shares were acquired from the issuer as RSUs on June 26, 2024. August 12, 2025 is listed as the date of plan adoption or instruction for Rule 10b5-1 purposes, and Raymond James & Associates is the named broker. Murry also sold 4,000 shares on March 10, 2026, for gross proceeds of $451,044.