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.
The Applied Optoelectronics, Inc. (NASDAQ: AAOI) SEC filings page brings together the company’s regulatory disclosures and material agreements as filed with the U.S. Securities and Exchange Commission. As a public issuer on the Nasdaq Global Market, AOI reports its business and financial condition through annual reports on Form 10-K, quarterly reports on Form 10-Q and current reports on Form 8-K, along with registration statements and related documents.
For a company in Semiconductor and Related Device Manufacturing and optical networking, these filings provide detail on revenue drivers in internet data centers, CATV, telecom and FTTH markets, as well as information about production capacity, capital investments and risk factors. Recent 8-K filings, for example, describe equity distribution agreements for at-the-market offerings of common stock, a loan and security agreement establishing a revolving credit facility, a revolving credit line and mortgage security agreement in China, and multiple lease agreements for manufacturing and operational facilities in Sugar Land, Texas, and New Taipei City.
AOI also uses Form 8-K to furnish earnings press releases that summarize quarterly results, non-GAAP financial measures and management’s outlook for its datacenter and CATV businesses. These filings explain how the company adjusts GAAP results to derive non-GAAP gross margin, net income (loss), earnings per share and Adjusted EBITDA, and they reference the underlying reconciliations.
On Stock Titan, SEC documents for AAOI are paired with AI-powered summaries that highlight key terms in lengthy filings, such as major credit facilities, lease commitments, equity distribution programs and changes in financial condition. Users can quickly scan new 10-K, 10-Q and 8-K reports, while also accessing insider transaction filings on Form 4 and other ownership disclosures as they become available through EDGAR. Real-time updates and plain-language explanations help investors and researchers understand how AOI’s regulatory filings relate to its optical networking and broadband access operations.
Applied Optoelectronics (AAOI) officer Hung‑Lun (Fred) Chang reported share surrenders to cover taxes upon RSU vesting. On 10/22/2025, he surrendered 1,705, 2,676, 614, and 774 shares (Code F) at $33.4 per share to satisfy withholding tied to RSU awards granted on June 27, 2022; June 26, 2023; April 29, 2024; and April 11, 2025. Following these transactions, he directly beneficially owns 250,557 shares. These are administrative tax-withholding events, not open‑market sales.
Applied Optoelectronics (AAOI) officer David C. Kuo reported administrative insider transactions on Form 4. On 10/22/2025, he surrendered shares to the issuer under transaction code F to cover tax withholding upon the vesting of previously granted RSUs. The reported surrender amounts were 1,066, 1,869, 472, and 516 shares, each at a price of $33.4 per share. Following these withholding-related transactions, his beneficial ownership stood at 143,448 shares, held directly.
Applied Optoelectronics (AAOI) President and CEO, Chih-Hsiang (Thompson) Lin, reported Form 4 transactions on 10/22/2025 reflecting shares withheld to cover taxes upon RSU vesting (transaction code F).
Shares surrendered at a price of $33.4 were: 5,491 (grant 6/27/2022), 8,753 (grant 6/26/2023), 2,332 (grant 4/29/2024), and 2,524 (grant 4/11/2025). Following these entries, Lin’s direct beneficial ownership stands at 1,644,390 shares.
Applied Optoelectronics (AAOI) reported insider activity by Senior Vice President and Asia General Manager Shu-Hua (Joshua) Yeh. On 10/22/2025, Yeh executed four transactions coded F, indicating shares were surrendered to the company to satisfy tax-withholding obligations tied to the vesting of previously granted restricted stock units.
The share surrenders occurred at a price of $33.4 and were associated with RSU awards originally granted on June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. Following these transactions, Yeh’s directly held beneficial ownership was 352,175 shares.
Applied Optoelectronics (AAOI) CFO Stefan J. Murry reported automatic share surrenders on 10/22/2025 to cover taxes upon RSU vesting. Four transactions coded F reflect shares withheld by the issuer at $33.4 per share: 1,865, 2,973, 679, and 989 shares. Following these withholdings, Murry directly beneficially owned 291,971 shares.
The footnotes state each surrender satisfied tax-withholding obligations tied to RSU grants dated June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. The filing is by one reporting person and indicates the transactions were non‑open‑market withholdings associated with vesting.
Applied Optoelectronics, Inc. reported it entered a material lease agreement dated September 19, 2025 with Coleman Logistics Assets, LLC. The filing categorizes the transaction as an entry into a material definitive agreement and as creating a direct financial obligation or an off‑balance sheet obligation, and it includes the lease as an exhibit.
The disclosure is concise: it notifies investors that the company has committed to a leasing arrangement that the company itself classifies as material and as giving rise to payment obligations. The filing provides the contract identity and exhibit reference but does not disclose lease economics, term length, or the expected financial impact.
Applied Optoelectronics, Inc. filed a Form 8-K reporting the entry into a material definitive agreement that creates a direct financial obligation or an off-balance-sheet arrangement. The filing states a translated Premises Lease Agreement dated September 1, 2025 between Prime World International Holdings Ltd., Taiwan Branch and International Games System Co., Ltd. The disclosure is limited to the existence and translation of the lease document and the classification of the event as Item 1.01 (creation of an obligation).
Applied Optoelectronics, Inc. entered into an Equity Distribution Agreement with Raymond James & Associates, Inc. and Needham & Company, LLC that allows it to issue and sell shares of common stock having an aggregate offering price of up to $150 million from time to time through at-the-market transactions. Sales will be made through the Sales Agents on the Nasdaq Global Market or other permitted markets based on placement notices specifying the number of shares, time period, minimum price, and daily limits, and the company is not obligated to sell any shares and may suspend offers and sales at any time.
The Sales Agents will receive compensation equal to 2% of the gross sales price of shares sold, and the company agreed to reimburse specified regulatory and blue sky expenses up to $10,000, with potential additional reimbursement of up to $30,000 for certain terminations. The shares are registered under an automatic shelf registration statement on Form S-3ASR, using a base prospectus and a prospectus supplement filed on August 27, 2025, and the distribution agreement continues until all covered shares are sold or it is terminated by either party.
Applied Optoelectronics, Inc. has filed a prospectus supplement to sell up to $150,000,000 of its common stock through an "at-the-market" equity program with Raymond James and Needham acting as agents. The company may sell shares from time to time at market prices on Nasdaq (ticker AAOI) or in other permitted transactions; the agents may receive up to 2.0% commission. The last reported sale price cited is $25.07 per share as of August 26, 2025. Prior to the offering, Applied Optoelectronics had 62,366,480 shares outstanding as of August 26, 2025. The filing discloses illustrative economics assuming sale of 5,983,247 shares at $25.07 for aggregate gross proceeds of approximately $150,000,000, which would produce an adjusted net tangible book value of approximately $8.32 per share and immediate dilution to new investors of approximately $16.75 per share. Net proceeds are intended for general corporate purposes, including debt repayment, working capital, capital expenditures and possible acquisitions. The company highlights material risks including potential dilution, stock price volatility, broad managerial discretion over proceeds, and restrictions tied to future financings. The offering may be suspended or terminated under the sales agreement and includes indemnification arrangements for the agents.
Applied Optoelectronics, Inc. reported that its wholly owned subsidiary, Prime World International Holdings Ltd., signed an Agreement to Terminate Land and Building Lease with San Ho Electric Machinery Industry Co., Ltd. on August 20, 2025. The agreement ends a lease that was originally entered into on June 7, 2025, and makes the termination effective August 31, 2025.
Under the termination terms, Prime World will pay the lessor NT$9,400,000 as a full settlement of all rent, fees, damages, and other amounts related to ending the lease early. After the agreement is executed, neither side will have further claims against the other in connection with the termination, effectively closing out all obligations tied to this lease.