Welcome to our dedicated page for APPLIED OPTOELECTRONICS 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.
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) has established an at-the-market equity program to issue and sell up to $600,000,000 of its common stock from time to time through Raymond James & Associates, Inc. and Needham & Company, LLC as sales agents. The shares may be sold on The Nasdaq Global Market or through other permitted methods at market-related prices.
The agents will receive up to 2.0% of the gross sales price as commissions. AAOI had 84,906,289 shares outstanding as of August 20, 2026. Assuming all $600 million is sold at $129.10 per share (the August 20, 2026 last sale price), net tangible book value per share would rise from $19.72 to about $26.20, implying immediate dilution of approximately $102.90 per share to new investors.
AAOI currently intends to use any net proceeds for general corporate purposes, including debt repayment, working capital, capital expenditures and potential acquisitions. The number of shares actually sold, if any, and the timing of sales will depend on market conditions and company directives; there is no minimum sale requirement.
APPLIED OPTOELECTRONICS, INC. (AAOI) reported an insider sale by Senior Vice President and Asia General Manager Yeh Shu-Hua (Joshua). On 2026-08-18, he sold 6,000 shares of common stock at a weighted average price of $147.73 per share in open-market or private transactions under a Rule 10b5-1 trading plan adopted on March 19, 2026. After these sales, he directly holds 377,498 shares of AAOI common stock.
APPLIED OPTOELECTRONICS, INC. (AAOI) received a Rule 144 notice relating to planned secondary sales of its common stock by officer Yeh Shu‑Hua (Joshua). The notice covers a proposed sale of 6,000 common shares through Raymond James & Associates, Inc., with an aggregate market value of $886,396.20. AAOI had 84,569,237 common shares outstanding as of August 18, 2026; this is a baseline figure, not the amount being sold. The filer also reports several AAOI share sales over the prior three months.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported an open-market sale of 4,000 shares of common stock on August 10, 2026, at a weighted average price of $144.79 per share, executed in multiple trades between $140.69 and $147.99. The transactions were carried out under a Rule 10b5-1 trading plan adopted on August 12, 2025. Following these sales, Murry directly holds 371,168 shares of the company’s common stock.
Applied Optoelectronics, Inc. is reported to have 1,952,757 shares of its common stock beneficially owned by Jane Street Group, LLC and related affiliates under a Schedule 13G/A (Amendment No. 1). This represents 2.4% of the outstanding common stock. All of these shares are reported with shared voting and dispositive power, and none with sole voting or dispositive power. The filing lists Jane Street Capital, LLC, Jane Street Options, LLC, Jane Street Global Trading, LLC and Jane Street Singapore Pte. Limited as subsidiaries involved in the reported ownership.
An affiliate of AAOI filed to sell 4,000 shares of common stock through Raymond James & Associates on or after 08/10/2026 on Nasdaq, with an indicated value of $579,170.00. The shares relate to awards designated as PSU acquired on 05/19/2026.
Over the prior three months, the same holder reported sales of 4,000 shares of common stock for $685,804.00 on 06/10/2026 and 4,000 shares for $488,364.00 on 07/10/2026.
Applied Optoelectronics reported Q2 2026 revenue of $191,922 (in thousands) and a net loss of $22,781 (in thousands), or $(0.28) per share. For the first half of 2026, revenue was $343,066 (in thousands) with a net loss of $37,062 (in thousands), or $(0.47) per share. Gross margin was 27.7% in Q2.
Total assets grew to $2,301,192 (in thousands), including $499,737 (in thousands) of cash and cash equivalents and $697,086 (in thousands) of property, plant and equipment, reflecting major manufacturing expansion and capital equipment prepayments. Stockholders’ equity increased to $1,668,025 (in thousands), supported by substantial common stock offerings.
Operating activities used $73,781 (in thousands) of cash in the first half, while investing activities used $633,713 (in thousands), mainly for purchases and prepayments of equipment and facilities. Financing activities provided $980,279 (in thousands), primarily from equity issuances and credit facilities. Revenue remained concentrated, with the top three customers accounting for 43%, 26% and 24% of six‑month revenue.
Applied Optoelectronics, Inc. reported that on August 6, 2026 it issued a press release providing its financial results for the second quarter ended June 30, 2026. The press release is furnished as Exhibit 99.1.
The company states that this earnings information and the related exhibits are furnished, not filed, so they are not deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934 or incorporated by reference into other securities filings, except where specifically referenced. The company also provided an Inline XBRL cover page as Exhibit 104.
Lin Chih-Hsiang (Thompson) reported acquisition or exercise transactions in this Form 4 filing.
APPLIED OPTOELECTRONICS, INC. President and CEO Lin Chih-Hsiang (Thompson) received a grant of 9,251 Restricted Stock Units of common stock at no cost under the 2026 Equity Incentive Plan. One-sixteen of the RSUs vest every three months, with the first vesting on January 21, 2027.
After this award he directly holds 1,296,047 common shares. An additional 807,602 shares are held indirectly through the Thompson Lin Family Trust for the benefit of his heirs, and he disclaims beneficial ownership of those shares except to the extent of his voting power.
APPLIED OPTOELECTRONICS, INC. executive Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager, sold 4,715 shares of common stock on August 4, 2026 at a weighted average price of $126.50 per share, in trades between $125.98 and $128.11 under a Rule 10b5-1 trading plan adopted March 19, 2026. After these sales, he directly holds 383,498 shares.