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. updated its executive employment agreements to increase severance protections for several senior leaders. If these executives are terminated without cause or resign for good reason, they now receive cash payments equal to nine months of base salary and nine months of target bonus, plus up to 12 months of COBRA health premium reimbursement.
If such a termination occurs within six months before or 12 months after a change of control, the executives are eligible for 15 months of base salary, 15 months of target bonus, and up to 15 months of COBRA premium reimbursement. All payments require the executives to sign and not revoke a general release of claims in favor of the company.
Applied Optoelectronics, Inc. is expanding its U.S. manufacturing presence with a new 210,000 square foot facility at 1111 Gillingham St. in Sugar Land, Texas. The company held a groundbreaking ceremony for the plant and highlighted it as a key milestone in its growth plans.
Management stated they plan to increase total investment in the facility and their headquarters from $150 million to potentially $300 million by the end of next year and have committed to creating 500 local jobs tied to automated production lines. The expansion is intended to support demand for optical transceivers used in AI and datacenter applications and to strengthen the company’s position as a major domestic supplier.
Invesco Ltd. filed a Schedule 13G reporting a passive ownership stake in Applied Optoelectronics Inc. common stock. As of December 31, 2025, Invesco may be deemed to beneficially own 3,512,309 shares, representing 5.1% of the outstanding class.
Invesco reports sole voting power over 3,489,951 shares and sole dispositive power over 3,512,309 shares, with no shared voting or dispositive power. The shares are held in client accounts of Invesco’s investment advisers, with no single client holding more than 5% economic ownership, and are certified as held in the ordinary course of business, not to influence control.
Applied Optoelectronics shareholder Stefan Murry filed a notice to sell 17,673 shares of common stock through Raymond James & Associates on NASDAQ, with an aggregate market value of $883,650. The shares are planned for sale around February 11, 2026, and 68,279,888 shares of common stock were outstanding.
The filing also lists earlier sales of common shares over the prior three months by the same shareholder, including blocks of 4,000 shares on December 10, 2025 and 6,327 shares on February 10, 2026.
Yeh Shu-Hua (Joshua) reported acquisition or exercise transactions in this Form 4 filing.
Applied Optoelectronics executive Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager, reported an equity award of 25,799 shares of common stock on February 9, 2026. The shares reflect Restricted Stock Units granted at a price of $0.00 under the company’s Amended and Restated 2021 Equity Incentive Plan.
Following this grant, Yeh beneficially owns 372,051 common shares directly. The RSUs vest over time, with one‑sixteenth of the award vesting every three months starting on January 21, 2026, creating a gradual, service-based vesting schedule.
Applied Optoelectronics Chief Financial Officer Stefan J. Murry reported both a stock award and share sales. On February 9, 2026, he acquired 32,249 shares of common stock for $0.00 per share as Restricted Stock Units that vest in sixteen equal quarterly installments starting January 21, 2026. On February 10–11, 2026, he sold a total of 18,020 shares in open-market transactions at weighted average prices between about $48.68 and $50.25, under a Rule 10b5-1 trading plan adopted on August 12, 2025. After these transactions, he directly owned 290,050 shares of Applied Optoelectronics common stock.
Applied Optoelectronics President and CEO Chih-Hsiang (Thompson) Lin acquired 82,559 shares of common stock through a grant of restricted stock units at $0.00 per share. The RSUs were issued under the Amended and Restated 2021 Equity Incentive Plan.
One-sixteenth of the RSUs vest every three months, starting on January 21, 2026. Following this award, Lin directly beneficially owns 1,705,277 shares of Applied Optoelectronics common stock.
Applied Optoelectronics executive David C. Kuo reported both equity awards and stock sales. On February 9, 2026, he acquired 17,027 shares of common stock at $0.00 per share as a grant of restricted stock units under the Amended and Restated 2021 Equity Incentive Plan, with one‑sixteenth vesting every three months starting January 21, 2026.
He then executed open‑market sales under a pre‑arranged Rule 10b5‑1 trading plan adopted May 15, 2025, selling 2,533 shares at a weighted average price of $50.0015 on February 10, 2026 and 17,467 shares at a weighted average price of $50.1661 on February 11, 2026. After these transactions, he directly held 111,663 shares of Applied Optoelectronics common stock.
Chang Hung-Lun (Fred) reported acquisition or exercise transactions in this Form 4 filing.
Applied Optoelectronics executive Hung-Lun (Fred) Chang, Senior Vice President and North America General Manager, received a grant of 25,799 shares of common stock in the form of restricted stock units at a per-share price of $0.00. Following this equity award, he directly holds 270,018 shares of common stock. The RSUs vest in sixteen equal installments, with one-sixteenth vesting every three months starting on January 21, 2026, creating a multi-year, time-based vesting schedule tied to continued service.
Applied Optoelectronics insider plans additional stock sale under Rule 144. A holder for the account of David Kuo intends to sell 17,467 shares of AAOI common stock through Raymond James & Associates on the NASDAQ around 02/11/2026, with an aggregate market value of approximately 876,251.27. These shares were acquired as performance stock units (PSUs) from the issuer on 05/13/2025.
Over the prior three months, the same account sold 2,533, 12,500 and 12,500 common shares on 02/10/2026, 01/28/2026 and 12/23/2025, receiving gross proceeds of 126,654.00, 540,671.00 and 501,881.00. Shares outstanding were 68,279,888 common shares, providing context for the size of these planned and recent sales.