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.
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. entered into an Equity Distribution Agreement with Raymond James & Associates and Needham & Company, allowing it to issue and sell up to $600 million of common stock through at-the-market offerings over time.
Sales will be made on Nasdaq or other markets pursuant to placement notices that set the share amount, time period, minimum price, and daily limits. The company is not obligated to sell any shares and can suspend or terminate the program at any time.
The sales agents will use commercially reasonable efforts to place stock and will receive a 2% commission on gross sales. Applied Optoelectronics will reimburse certain regulatory expenses up to $10,000, and in specified termination scenarios may reimburse additional out-of-pocket costs up to $30,000. The shares are registered under an existing automatic shelf registration on Form S-3ASR and a related prospectus supplement.
Applied Optoelectronics, Inc. filed a prospectus supplement to offer shares of common stock having an aggregate offering price of up to $600,000,000 through an at-the-market equity distribution agreement with Raymond James and Needham.
The company may sell shares from time to time at market prices through the Nasdaq Global Market or other permitted methods. The prospectus states 80,242,767 shares outstanding as of May 13, 2026 and discloses a last reported sale price of $223.10 per share on that date. Proceeds are to be used for general corporate purposes, which may include debt repayment, working capital, capital expenditures and acquisitions.
Applied Optoelectronics, Inc. entered into three long-term industrial leases in Houston, Texas, for manufacturing, warehouse, and office use. The initial lease term for each building is 123 full calendar months, with an initial three-month rent abatement period and periodic rent escalations thereafter. The company will also pay its share of operating costs, taxes, and insurance.
Building 1 at 6000 McHard Road covers approximately 163,930 rentable square feet plus a 3.34-acre adjacent tract, with monthly basic rent starting at $104,915.20 in month four and increasing to $146,127.30 in months 112–123, and additional rent on the tract starting at $6,680.00 and rising to $9,303.99. Building 2 at 6100 McHard Road (approximately 343,332 rentable square feet) has rent starting at $205,999.20, increasing to $286,918.45, while Building 3 at 17255 Chimney Rock Road (approximately 228,954 rentable square feet) has rent starting at $146,530.56, increasing to $204,089.73.
Each lease includes a purchase and sale agreement giving the company an option to buy all three buildings and related land for an aggregate purchase price of $102,250,000, with earnest money of $1,758,750 and an expected closing 45 days after exercising the option, subject to the PSAs’ terms. The leases contain customary covenants, restrictions, insurance requirements, indemnities, default provisions, remedies, and termination rights tied to delivery delays, casualty, and condemnation.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry sold 4,000 shares of common stock in an open-market transaction on May 11, 2026 at a weighted average price of $159.5254 per share. According to the disclosure, these sales were executed under a pre-arranged Rule 10b5-1 trading plan adopted on August 12, 2025. After this sale, he directly holds 266,126 shares of the company’s common stock.
Applied Optoelectronics, Inc. reports that Marex Securities Products, Inc. and Marex Group plc beneficially own 4,486,292 shares of Common Stock, representing 5.6% of the class as reported on 05/08/2026.
The filing lists sole voting and sole dispositive power over the 4,486,292 shares. The Schedule 13G reflects an institutional disclosure of holdings rather than an acquisition announcement.
AAOI reports proposed resale of common stock under a Form 144 notice. The filing lists 4,000 shares described as RSUs and multiple sales by Stefan Murry totaling several transactions in early 2026. The sales list specific trade dates and amounts; proceeds are shown per transaction.
Applied Optoelectronics, Inc. has changed its independent auditor, dismissing Grant Thornton LLP and appointing PricewaterhouseCoopers LLP for the fiscal year ending December 31, 2026. Grant Thornton will still review the company’s consolidated financial statements for the quarter ending March 31, 2026.
Grant Thornton’s audit reports for the years ended December 31, 2024 and 2025 contained no adverse opinions, disclaimers, or qualifications, and there were no disagreements or reportable events under Regulation S‑K. A previously disclosed material weakness in controls over review of technical accounting analysis was remediated as of December 31, 2025.
Applied Optoelectronics reported strong top-line growth but remained unprofitable for the quarter ended March 31, 2026. Revenue rose to $151.1 million from $99.9 million, driven mainly by data center products, which more than doubled to $81.4 million and reached over half of total sales.
Gross profit increased to $43.9 million, though gross margin slipped to 29.1% from 30.6% as costs scaled with higher volume. Operating expenses climbed to $56.9 million, led by higher R&D and general and administrative spending to support growth, resulting in a net loss of $14.3 million versus a $9.2 million loss a year earlier.
Liquidity strengthened significantly: the company closed a public equity offering that added about $382.4 million of capital, lifting cash, cash equivalents and restricted cash to $449.4 million. AOI also detailed its $125 million 2.75% convertible notes due 2030 and maintained $61.7 million of unused borrowing capacity, while investing heavily in property, plant and equipment to expand manufacturing.
Applied Optoelectronics reported strong Q1 2026 growth but remained unprofitable. Revenue reached $151.1 million, up from $99.9 million a year earlier, driven by demand in both datacenter and CATV segments. Datacenter revenue rose to $81.4 million and CATV revenue to $66.8 million.
The company posted a GAAP net loss of $14.3 million, or $0.19 per share, and a non-GAAP net loss of $4.9 million. Adjusted EBITDA improved to $1.0 million. Cash, cash equivalents and restricted cash increased to $449.4 million. For Q2 2026, AOI expects revenue of $180–$198 million and non-GAAP gross margin of 29%–30%, with non-GAAP net results ranging from a $2.5 million loss to $2.8 million profit.
Applied Optoelectronics Inc reports that Invesco Ltd. amended its Schedule 13G to state it may be deemed to beneficially own 2,014,405 shares of Common Stock, representing 2.7% of the class. The filing breaks out voting and dispositive powers: 1,943,971 shares with sole voting power and 2,014,405 shares with sole dispositive power. The amendment lists affiliated investment managers (Invesco Advisers, Inc., Invesco Capital Management LLC) and is signed by Robert R. Leveille on 05/06/2026.