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.
The company with ticker AAOI filed to permit sales of 4,715 shares of common stock through Raymond James & Associates on Nasdaq on August 4, 2026, under Rule 144. The filing also lists prior sales by shareholder Hu-Hua Yeh during the preceding three months.
Those prior sales of common stock were 10,000 shares for $2,050,770.00 on June 5, 2026, 6,000 shares for $1,031,280.00 on June 18, 2026, and 1,285 shares for $154,238.00 on July 21, 2026.
BlackRock, Inc. filed an amended ownership report showing a significant position in Applied Optoelectronics, Inc. common stock. As of June 30, 2026, BlackRock reported beneficial ownership of 4,342,797 shares, representing 5.4% of the outstanding common stock.
BlackRock reported sole voting power over 4,167,570 shares and sole dispositive power over all 4,342,797 shares, with no shared voting or dispositive power. The shares are held across certain BlackRock business units, and various underlying persons may receive dividends or sale proceeds, but no single such person holds more than five percent of the total outstanding common shares.
Applied Optoelectronics, Inc. reported that Senior Vice President and Chief Legal Officer David C. Kuo surrendered a total of 3,264 shares of common stock on July 22, 2026 at 119.2600 per share. The four transactions were share surrenders to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported four tax-withholding dispositions totaling 5,408 shares of common stock on July 22, 2026 at $119.26 per share. The shares were surrendered to the issuer to cover tax-withholding obligations upon vesting of restricted stock unit awards granted between June 2023 and February 2026. The Rule 10b5-1 trading-plan box was not checked.
Chang Hung-Lun (Fred), Senior Vice President and North America General Manager of Applied Optoelectronics, reported four F-code dispositions on 2026-07-22, surrendering 4,676 shares of common stock back to the issuer at $119.26 per share to satisfy tax-withholding obligations upon vesting of multiple restricted stock unit awards. The Rule 10b5-1 trading plan box was not checked.
Applied Optoelectronics, Inc. President and CEO Thompson Lin reported four Form 4 transactions, surrendering a total of 15,640 shares of common stock at $119.26 per share to the company to satisfy tax-withholding obligations upon vesting of prior restricted stock unit awards. An additional entry shows 807,602 shares indirectly held through the Thompson Lin Family Trust for the benefit of his heirs; he disclaims beneficial ownership of these shares except to the extent of his voting power.
Applied Optoelectronics executive Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager, reported one sale of 1,285 common shares on July 21, 2026 at a weighted average price of $120.02 per share under a Rule 10b5-1 trading plan adopted March 19, 2026.
On July 22, 2026, he surrendered a total of 4,709 shares of common stock at $119.26 per share to the issuer to satisfy tax-withholding obligations arising from the vesting of previously granted restricted stock unit awards.
A shareholder of AAOI, identified as Shu-Hua Yeh, has filed to sell shares of the company’s common stock under a Form 144 notice. The planned sale lists 1,285 shares of common stock to be sold through Raymond James & Associates, with an aggregate market value of $154,237.52, and the security is listed on NASDAQ. The filing also reports that during the past three months, the same shareholder sold 10,000 shares of common stock on June 5, 2026 for $2,050,770.00 and 6,000 shares on June 18, 2026 for $1,031,280.00. Some of the shares relate to a prior RSU Award dated October 24, 2022.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Murry Stefan J. reported an open-market sale of 4,000 shares of common stock on July 10, 2026 at a weighted-average price of $122.09 per share under a Rule 10b5-1 trading plan, leaving 380,576 shares directly owned.
AAOI Rule 144 notice: A Form 144 submission lists proposed sales of Common stock by a holder and related transactions. The excerpt shows multiple Common share dispositions and planned sale activity, including entries dated 05/19/2026 and prior months, with specific share counts and dollar amounts recorded.