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) is named as issuer for a proposed sale by Officer Hung-Lun Chang (Fred) of 32,172 common shares. The approximate sale date is September 8, 2026, and the aggregate market value is 3,545,727.60. The shares were acquired from the issuer as a PSU on May 19, 2026.
The past-three-months section lists a June 12 sale of 34,000 shares for gross proceeds of 5,662,149.00 and a June 17 sale of 40,329 shares for gross proceeds of 6,880,027.00. The listed seller names are Hung-Lun Chang and Hung-Lun, respectively.
Applied Optoelectronics, Inc. (AAOI) entered into two long-term industrial leases with Hightower Phase II Owner, LLC for newly constructed Buildings 4 and 5 in Houston, Texas, for light manufacturing, warehouse and related uses. Substantial completion is anticipated about 16 months after the August 31, 2026 lease date, with each lease running an initial term of 120 full calendar months from commencement.
Building 4 comprises approximately 356,186 rentable square feet, with monthly basic rent starting at $220,835.32 and rising to $307,582.40 in Lease Months 109–120. Building 5 comprises approximately 737,621 rentable square feet, with monthly basic rent starting at $457,325.02 and rising to $636,968.43 in Lease Months 109–120. AAOI must provide aggregate security deposits of $11.3 million and pay about $2.55 million for structural-steel design modifications for potential future rooftop solar panels.
AAOI holds an option to purchase Buildings 4 and 5 together for an aggregate $146,570,138, subject to limited upward adjustment at $134 per square foot, with any aggregate increase capped at 1%. The leases include delivery, casualty, condemnation and Phase I–linked termination rights, as well as customary operating cost, insurance, assignment, sublease, and default provisions.
Applied Optoelectronics, Inc. (AAOI) reports that its Board of Directors approved and adopted an updated form of indemnification agreement for directors and certain executive officers. This new agreement will replace and supersede existing indemnification agreements and will also be used for future directors and applicable executive officers.
The updated agreement is intended to reflect current market indemnification practices and the company’s governance documents, provide greater clarity and reduce uncertainty regarding indemnification and expense advancement rights, and address matters related to directors’ and officers’ liability insurance coverage. It generally provides indemnification to the fullest extent permitted by the company’s bylaws and applicable law and includes advancement of expenses, such as attorneys’ fees, for proceedings arising from service to the company or, at its request, to other entities, subject to specified terms and limitations.
Applied Optoelectronics, Inc. (AAOI) entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. and Needham & Company, LLC that allows the company to issue and sell shares of its common stock with an aggregate offering price of up to $600 million from time to time.
Sales will be made through the sales agents as “at the market” offerings under Rule 415 on the Nasdaq Global Market or other existing trading markets, based on placement notices specifying share limits, time periods and minimum prices. The company is not obligated to sell any shares and may suspend or terminate the program at any time.
The sales agents will receive 2% of the gross sales price of shares sold and may be reimbursed for certain expenses under specified caps. The shares are registered under an automatic shelf registration statement on Form S-3ASR and a related prospectus supplement filed on August 21, 2026.
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.