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.
Raymond James & Associates filed a Form 144 reporting the proposed sale of 15,000 common shares of AAOI with a filing date of 03/09/2026. The filing lists related RSU awards: 4,121 (12/09/2024), 5,500 (04/02/2014) and 5,379 (12/11/2023).
Charles Schwab Corp. reported a Form 144 indicating a proposed sale of 15,000 common shares, filed with an effective date of 03/06/2026.
The filing lists multiple vested RSU lots including 5,500 (vested 04/01/2014) and 6,965 (vested 05/30/2017 as securities related to the sale.
APPLIED OPTOELECTRONICS, INC. director Elizabeth G. Loboa reported an open-market sale of 102,347 shares of common stock on March 3, 2026 at a weighted average price of $95.7586 per share. After this transaction, she directly owned 20,523 shares.
The footnote explains that the shares were sold in multiple trades between $90.00 and $97.00 per share, with the reported price reflecting the weighted average across all sales.
Applied Optoelectronics director Cynthia DeLaney reported an open‑market sale of company stock. She sold 21,000 shares of common stock at a weighted‑average price of $98.0164 per share. After this transaction, she directly holds 116,222 shares. An additional 2,380 shares are held indirectly by her spouse, and she disclaims beneficial ownership of those except for any indirect pecuniary interest.
APPLIED OPTOELECTRONICS, INC. director Richard B. Black reported an indirect sale of common stock through his revocable trust. On March 5, 2026, The Richard B. Black Revocable Trust sold 3,231 shares of common stock in open-market transactions at $95.00 per share.
After these sales, the trust associated with Black held 164,363 shares of APPLIED OPTOELECTRONICS common stock indirectly. The shares are held in a revocable living trust for which Black is both trustee and beneficial owner.
Applied Optoelectronics, Inc. entered into a design-build agreement with LCC3 Solution Inc. to develop its FAB2 cleanroom project in Sugar Land, Texas. The project covers approximately 92,674 square feet of ISO 6 (Class 1K) certified cleanroom space inside an existing warehouse and includes design, engineering, procurement, construction, testing, commissioning, and closeout work.
The total contract amount is approximately $30,885,000, with payments made monthly based on progress and a 10% retainage held until final completion and punch list resolution. The agreement includes liquidated damages for schedule delays, capped at $1,600,000, as well as schedule-based incentives up to $1,810,000 and performance-based incentives up to $1,724,000 for cleanroom validation and $1,600,000 for warranty performance. Substantial completion is targeted for September 30, 2026.
AAOI reported proposed sales of common stock tied to restricted stock unit vesting on multiple dates. The excerpt lists 09/11/2023 (538 shares), 12/11/2023 (10,231 shares) and 03/11/2024 (10,231 shares) with the seller shown as Issuer.
Raymond James & Associates submitted a Form 144 notice to sell Common shares. The filing lists multiple RSU award lots by grant date and quantity, including awards dated 09/06/2024 (4120 shares) and 06/10/2024 (10232 shares). The excerpt is a seller notice reporting intended dispositions of restricted common stock.
Applied Optoelectronics, Inc. entered into a long-term lease for approximately 153,928 rentable square feet in Building #3 at 16851 Blue Ridge Commerce Dr. in Houston, Texas. The space can be used for office, warehouse, and light manufacturing and assembly over a 130‑month term.
The lease includes a tenant improvement allowance of $3,078,560, five months of base rent abatement, and base rent starting at $5.16 per rentable square foot on an annualized basis (about $66,189.04 per month) for months 6–10. From month 11, rent is $10.32 per rentable square foot on an annualized basis (about $132,378.08 per month) and escalates by an average of roughly 3.5% annually, reaching $14.56 per rentable square foot on an annualized basis (about $186,732.36 per month) in months 121–130.
The company will pay prepaid rent of $163,163.68 toward the eleventh month’s rent and an initial security deposit of $2,000,000, subject to scheduled reductions if conditions are met. It is also responsible for operating expenses, including taxes and insurance. The lease provides a one-time early termination right effective at the end of the 82nd full month, subject to a fee, and a one-time option to purchase the building and parcel for $30,257,846.86, with a notice deadline of September 15, 2026 and closing deadline no later than December 15, 2026.