APPLIED OPTOELECTRONICS, INC. SEC Filings

Applied Optoelectronics (AAOI), through its subsidiary Prime World International Holdings, signed a new premises lease with International Games System Co., Ltd. to take the remaining portion of its New Taipei City facility, adding approximately 54,086 square feet and becoming the sole tenant at No. 49, Wugong 6th Road.

The lease runs from December 1, 2025 to October 31, 2040, following a rent‑free renovation period from November 1–30, 2025. Monthly rent is scheduled at NTD 1,292,000 through October 31, 2030, NTD 1,330,760 from November 1, 2030 to October 31, 2035, and NTD 1,370,683 from November 1, 2035 to October 31, 2040, reflecting ~3% increases about every five years. Prime World may modify the building at its expense and holds key protections: a right of first refusal to purchase, lease enforceability against any successor owner, a right of first refusal to renew, and no early termination during the first eight years; after that, termination requires 12 months’ notice and three months’ rent.

Applied Optoelectronics (AAOI) officer Hung‑Lun (Fred) Chang reported share surrenders to cover taxes upon RSU vesting. On 10/22/2025, he surrendered 1,705, 2,676, 614, and 774 shares (Code F) at $33.4 per share to satisfy withholding tied to RSU awards granted on June 27, 2022; June 26, 2023; April 29, 2024; and April 11, 2025. Following these transactions, he directly beneficially owns 250,557 shares. These are administrative tax-withholding events, not open‑market sales.

Applied Optoelectronics (AAOI) officer David C. Kuo reported administrative insider transactions on Form 4. On 10/22/2025, he surrendered shares to the issuer under transaction code F to cover tax withholding upon the vesting of previously granted RSUs. The reported surrender amounts were 1,066, 1,869, 472, and 516 shares, each at a price of $33.4 per share. Following these withholding-related transactions, his beneficial ownership stood at 143,448 shares, held directly.

Applied Optoelectronics (AAOI) President and CEO, Chih-Hsiang (Thompson) Lin, reported Form 4 transactions on 10/22/2025 reflecting shares withheld to cover taxes upon RSU vesting (transaction code F).

Shares surrendered at a price of $33.4 were: 5,491 (grant 6/27/2022), 8,753 (grant 6/26/2023), 2,332 (grant 4/29/2024), and 2,524 (grant 4/11/2025). Following these entries, Lin’s direct beneficial ownership stands at 1,644,390 shares.

Applied Optoelectronics (AAOI) reported insider activity by Senior Vice President and Asia General Manager Shu-Hua (Joshua) Yeh. On 10/22/2025, Yeh executed four transactions coded F, indicating shares were surrendered to the company to satisfy tax-withholding obligations tied to the vesting of previously granted restricted stock units.

The share surrenders occurred at a price of $33.4 and were associated with RSU awards originally granted on June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. Following these transactions, Yeh’s directly held beneficial ownership was 352,175 shares.

Applied Optoelectronics (AAOI) CFO Stefan J. Murry reported automatic share surrenders on 10/22/2025 to cover taxes upon RSU vesting. Four transactions coded F reflect shares withheld by the issuer at $33.4 per share: 1,865, 2,973, 679, and 989 shares. Following these withholdings, Murry directly beneficially owned 291,971 shares.

The footnotes state each surrender satisfied tax-withholding obligations tied to RSU grants dated June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. The filing is by one reporting person and indicates the transactions were non‑open‑market withholdings associated with vesting.

Applied Optoelectronics, Inc. reported it entered a material lease agreement dated September 19, 2025 with Coleman Logistics Assets, LLC. The filing categorizes the transaction as an entry into a material definitive agreement and as creating a direct financial obligation or an off‑balance sheet obligation, and it includes the lease as an exhibit.

The disclosure is concise: it notifies investors that the company has committed to a leasing arrangement that the company itself classifies as material and as giving rise to payment obligations. The filing provides the contract identity and exhibit reference but does not disclose lease economics, term length, or the expected financial impact.

Applied Optoelectronics, Inc. filed a Form 8-K reporting the entry into a material definitive agreement that creates a direct financial obligation or an off-balance-sheet arrangement. The filing states a translated Premises Lease Agreement dated September 1, 2025 between Prime World International Holdings Ltd., Taiwan Branch and International Games System Co., Ltd. The disclosure is limited to the existence and translation of the lease document and the classification of the event as Item 1.01 (creation of an obligation).

Applied Optoelectronics, Inc. entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. and Needham & Company, LLC that allows it to issue and sell shares of common stock having an aggregate offering price of up to $150 million from time to time through at-the-market transactions. Sales will be made through the Sales Agents on the Nasdaq Global Market or other permitted markets based on placement notices specifying the number of shares, time period, minimum price, and daily limits, and the company is not obligated to sell any shares and may suspend offers and sales at any time.

The Sales Agents will receive compensation equal to 2% of the gross sales price of shares sold, and the company agreed to reimburse specified regulatory and blue sky expenses up to $10,000, with potential additional reimbursement of up to $30,000 for certain terminations. The shares are registered under an automatic shelf registration statement on Form S-3ASR, using a base prospectus and a prospectus supplement filed on August 27, 2025, and the distribution agreement continues until all covered shares are sold or it is terminated by either party.