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: The Vanguard Group filed Amendment No. 3 to its Schedule 13G/A stating it beneficially owns 0 shares of Common Stock, representing 0% of the class. The filing explains an internal realignment on January 12, 2026 under SEC Release No. 34-39538, after which certain Vanguard subsidiaries will report holdings separately and The Vanguard Group "no longer has, or is deemed to have, beneficial ownership" of securities held by those subsidiaries.
The form lists voting and dispositive powers as 0 and is signed by Ashley Grim, Head of Global Fund Administration, dated 03/26/2026. This amendment reflects ownership reporting changes tied to Vanguard's organizational realignment rather than a market trade by The Vanguard Group.
Applied Optoelectronics, Inc. Schedule 13G: Jane Street group reports beneficial ownership of 4,097,237 shares of Common Stock, representing 5.3% of the class as of 03/17/2026. The filing attributes shared voting and dispositive power across subsidiaries Jane Street Capital, Jane Street Options and Jane Street Global Trading.
The filing lists shared voting power and shared dispositive power of 4,097,237 shares and breaks holdings into subsidiary allocations: Jane Street Capital 1,864,091, Jane Street Global Trading 2,083,846, and Jane Street Options 149,300.
APPLIED OPTOELECTRONICS, INC. officer David C. Kuo reported an open‑market sale of 29,000 shares of common stock on March 19, 2026. The shares were sold at a weighted average price of $100.1276 per share, in multiple transactions priced between $100.00 and $100.44 per share.
Following these transactions, Kuo directly owns 82,663 shares of the company’s common stock. The filing notes that detailed information on each individual trade is available upon request from the reporting person, the company, the SEC staff, or a security holder.
Applied Optoelectronics, Inc. (AAOI) is the issuer named in a notice of a proposed sale by David Kuo, identified as an officer: 29,000 common shares, with an aggregate market value of $2,903,700.40 and an approximate sale date of March 19, 2026. The shares are listed as acquired from the issuer through a PSU transaction on May 14, 2025.
The notice also lists four prior common-stock sales by David Kuo, dated December 23, 2025, January 28, 2026, February 10, 2026, and February 11, 2026, in amounts of 12,500, 12,000, 2,533, and 17,467 shares, respectively.
Applied Optoelectronics, Inc. officer David Kuo reported a proposed sale of 17,467 common shares, with an aggregate market value of $876,251.27 and an approximate sale date of February 11, 2026. The notice lists Raymond James & Associates, Inc. as broker and says the shares were acquired from the issuer as a PSU on May 13, 2025. It also reports prior sales of 12,500 shares on December 23, 2025, 12,000 shares on January 28, 2026, and 2,533 shares on February 10, 2026.
APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) sold 36,400 shares of common stock in an open-market transaction on March 16, 2026 at a weighted average price of $100.245 per share. The trades were executed at prices ranging from $100.00 to $100.80 per share.
After these sales, he directly holds 233,618 shares of common stock. The transactions were reported as routine open-market sales, with the weighted average price disclosed and full trade details available upon request as noted in the footnote.
Raymond James & Associates filed a Form 144 reporting a proposed sale of Common stock. The filing lists 36,400 shares, an associated figure of $3,648,918.00, and a referenced total of 75,198,817 shares with an entry date of 03/16/2026. The securities are listed on Nasdaq.
Applied Optoelectronics, Inc. amended its equity distribution agreement with Raymond James and Needham to expand its at-the-market common stock offering capacity to an aggregate offering price of $500 million.
As of March 12, 2026, the company had sold 2,476,307 shares for approximately $249,999,983 under the program and may sell an additional approximately $250,000,017. Sales are made from time to time through the agents on the Nasdaq Global Market and other permitted venues, with the agents earning a 2% commission on gross sales.
Applied Optoelectronics, Inc. amends its prospectus supplement to increase the size of an at-the-market equity program to permit the sale of up to $500,000,000 of common stock.
The amendment states that 2,476,307 shares have been sold for gross proceeds of approximately $249,999,983 under the sales agreement as of March 12, 2026, and that the company may sell additional shares for an aggregate offering price of approximately $250,000,017 through agents Raymond James and Needham. The shares will be offered from time to time in “at-the-market” offerings and the agents may receive commissions of up to 2.0%.
APPLIED OPTOELECTRONICS, INC. director Min-Chu (Mike) Chen reported open-market sales of 11,335 AAOI shares. He sold 8,835 directly owned common shares at a weighted average price of $108.7172 per share, with actual sale prices ranging from $105.50 to $110.20. Following this sale, he directly owns 169,300 common shares.
In a separate transaction, 2,500 indirectly owned shares held by his spouse, Yuh-Mei Chung, were sold at $97.00 per share, leaving 20,000 shares in that indirect holding. Chen disclaims beneficial ownership of shares held by his spouse except for any indirect pecuniary interest.