Welcome to our dedicated page for Applied Optoelec SEC filings (Ticker: AAOI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Laser yields, wafer fab capacity, and hyperscale customer contracts make Applied Optoelectronics Inc. (AAOI) filings anything but light reading. If you have ever searched “AAOI SEC filings explained simply” after opening a 300-page 10-K, you know the challenge. Misreading a single note on 400G transceiver margins could skew your entire model.
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Applied Optoelectronics, Inc. (AAOI) Form 144 shows insider Stefan Murry proposes to sell 12,000 common shares through Raymond James with an approximate aggregate market value of $268,200, with an approximate sale date of 08/15/2025. The shares were acquired as restricted stock units (RSUs): 5,215 on 01/23/2024 and 6,785 on 04/22/2024, which together account for the 12,000 shares to be sold. The filing lists 62,353,846 shares outstanding, and discloses prior sales by the same person during the last three months of 3,000 shares on 07/16/2025 (gross proceeds $82,377) and 2,000 shares on 06/16/2025 (gross proceeds $32,090). The filer certifies no undisclosed material adverse information and provides standard Rule 144 representations.
William H. Yeh, a director of Applied Optoelectronics, Inc. (AAOI), reported purchases of company common stock on August 13 and August 14, 2025. The Form 4 shows purchases of 10,000 shares on 08/13/2025 at a weighted-average price of $22.75, an additional 4,000 shares on 08/13/2025 at $23.15, and 4,000 shares on 08/14/2025 at $21.40. Following these transactions the reporting person beneficially owned 253,819 shares. The filing was signed by an attorney in fact, David C. Kuo, on 08/14/2025. The filer checked that the reporting person is a director and that the form is filed by one reporting person. The Form includes an explanation that the 10,000-share purchase on 08/13/2025 consisted of multiple transactions at prices between $22.66 and $22.93 with a weighted-average reported.
Insider purchases reported for Applied Optoelectronics, Inc. (AAOI). Lin Chih-Hsiang (Thompson) Lin, listed as President, CEO and a director, reported purchases on August 12 and 13, 2025 totaling 18,600 shares of AAOI common stock.
The transactions consist of 6,500 shares bought through a 401(k) on 08/12/2025 at a weighted-average price of $23.14, 8,850 shares purchased on 08/13/2025 at a weighted-average price of $22.53 as direct acquisitions, and 3,250 shares bought through a 401(k) on 08/13/2025 at a weighted-average price of $22.65. The Form 4 was signed by an attorney-in-fact on 08/14/2025. Explanatory footnotes state the reported prices are weighted averages of multiple trades and that detailed per-trade prices are available on request.
Applied Optoelectronics, Inc. (AAOI) Form 4 shows that Min-Chu (Mike) Chen, a company director, was party to equity transactions on 08/13/2025. The filing reports purchases totaling 7,500 shares of the company’s common stock at a weighted-average price of $22.91, with execution prices ranging from $22.50 to $23.20. The form also discloses that 22,500 shares are held directly by Chen’s spouse, Yuh‑Mei Chung, and Chen disclaims beneficial ownership of those shares except for any indirect pecuniary interest. The form is signed by David C. Kuo as attorney in fact on 08/14/2025.
Applied Optoelectronics, Inc. (AAOI) Form 4: Senior Vice President and North America General Manager Hung-Lun (Fred) Chang reported sales of 15,784 shares of the company's common stock on 08/13/2025. The transactions executed at actual sale prices ranging from $22.58 to $22.81 per share, with a weighted average price reported as $22.7009. After these disposals, the reporting person beneficially owned 256,326 shares, held directly. The filing was signed by an attorney-in-fact on 08/14/2025. The filer offers to provide detailed per-transaction share counts and prices upon request by SEC staff, the issuer, or a security holder.
Applied Optoelectronics (AAOI) filed a Form 144 reporting a proposed sale of 15,784 common shares through Raymond James, with an aggregate market value of $357,000. The sale is slated approximately for 08/13/2025 on NASDAQ and the broker is identified as Raymond James & Associates at 880 Carillon Parkway, St. Petersburg, FL.
The shares represent about 0.025% of the 62,353,846 outstanding shares. All shares to be sold were acquired as restricted stock awards on 01/22/2024 (6,148 shares), 01/23/2024 (8,718 shares) and 05/23/2024 (918 shares). The form shows no securities sold in the past three months and lists payment as N/A. The filer affirms no undisclosed material adverse information.
Applied Optoelectronics (AAOI) has strengthened its liquidity profile. On 31 Jul 2025 the company executed a three-year, $35 million secured revolving Credit Facility with BOKF, NA dba BOK Financial. The agreement includes an accordion that can expand total commitments to $75 million, subject to lender approval, and will be used for general working-capital and operating needs.
Borrowings are secured by substantially all domestic assets (foreign-subsidiary assets excluded) and accrue interest at Term SOFR + 0.10% plus an Applicable Margin. Interest is payable monthly and the outstanding principal is due at maturity. The facility contains customary representations, financial covenants and default provisions typical for similar credit arrangements.
Items 1.01 and 2.03 of the Form 8-K disclose the entry into, and creation of, this direct financial obligation. The Loan and Security Agreement and Revolving Note are filed as Exhibits 10.1 and 10.2, respectively. No earnings figures were provided in the filing.
Applied Optoelectronics (AAOI) filed an 8-K noting that its wholly owned Chinese subsidiary, Global Technology, Inc., entered into a 250 million RMB (≈US$34 million) five-year revolving credit line with Shanghai Pudong Development Bank on 29 Jul 2025.
- Purpose: General corporate and capital investment; draws allowed until 29 Jul 2030.
- Security: Facility is collateralized by subsidiary real property via a mortgage agreement.
- Pricing: Interest rate for each draw will be negotiated at draw-down.
- Lender rights: Bank may revoke the line at any time without notice due to regulatory, market or borrower-specific changes.
- Other terms: Customary reps, warranties, covenants and default provisions apply.
The agreement boosts near-term liquidity and financial flexibility but introduces revocation risk and additional secured leverage.
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