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. officer Yeh Shu-Hua (Joshua) reported open-market sales of 10,000 shares of common stock on June 4, 2026. The transactions were executed in two blocks of 5,000 shares at weighted average prices of $205.39 and $204.75 per share.
According to the filing footnotes, the shares were sold in multiple trades with actual prices ranging from $203.93 to $206.00 per share. After these sales, Yeh directly holds 452,430 shares of APPLIED OPTOELECTRONICS common stock, indicating he retains a substantial equity position.
Applied Optoelectronics, Inc. reported the results of its 2026 annual shareholder meeting, where investors approved a new 2026 Equity Incentive Plan authorizing the issuance of an additional 2,500,000 shares of common stock and replacing the company’s prior equity plans.
Shareholders also elected two Class I directors, ratified PricewaterhouseCoopers LLP as independent auditor for the year ending December 31, 2026, approved an advisory say‑on‑pay resolution, and adopted a charter amendment clarifying future voting standards. A proposal to adjourn the meeting, if necessary, was likewise approved. In total, 51,375,083 shares, or 64.18% of the 80,047,663 shares entitled to vote, were represented at the meeting.
Applied Optoelectronics, Inc. officer Hung-Lun Chang (Fred) reported a proposed sale of 12,000 common shares, with an aggregate market value of $2,640,000 and an approximate sale date of June 5, 2026. Raymond James & Associates is named as broker. The shares were acquired from the issuer as 12,000 RSUs on May 14, 2025. The notice also lists a prior sale of 36,400 common shares on March 16, 2026, for gross proceeds of $3,648,918.
Applied Optoelectronics, Inc. officer Shu-Hua (Joshua) Yeh reported a proposed sale of 25,000 common shares, with an aggregate market value of $5,530,000 and an approximate sale date of June 4, 2026. The securities table lists 80,242,767 common shares outstanding.
The reported sales history lists 50,000 common shares sold on March 6, 2026, for gross proceeds of $4,854,880. The securities history lists acquisitions from the issuer as RSUs: 15,918 shares on June 26, 2024, and 9,082 shares on July 22, 2024. Rashida Mitchell signed as a duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for Shu-Hua Yeh.
APPLIED OPTOELECTRONICS, INC. director Min-Chu (Mike) Chen reported an open-market sale of 8,247 shares of common stock on 2026-06-02 at $201.0000 per share. After this sale, he holds 161,053 shares directly.
The filing also shows 20,000 shares held indirectly through his spouse, with Chen disclaiming beneficial ownership of those securities except for any indirect pecuniary interest.
APPLIED OPTOELECTRONICS, INC. President and CEO Thompson Lin reported a restructuring of how he holds his AAOI shares, along with estate-planning transfers involving a family LLC and trust.
He contributed 807,602 directly owned shares of common stock to Lin Family Investment Holdings LLC. According to the disclosure, this was a change in the form of ownership under Rule 16a-13 and did not change his economic interest, as he remains sole manager of the LLC with sole voting and dispositive power over the LLC’s 807,602 shares.
The filing also shows a bona fide gift of LLC membership interests representing 85,790.27 shares, valued at $15 million based on a per share price of $174.845, to an irrevocable family trust for the benefit of his heirs. In a related transaction, a further portion of the LLC membership interest, representing 721,811.73 shares, was transferred to the same family trust in exchange for a promissory note with a principal amount of $126,205,171.69, using the same $174.845 per share valuation. The trust’s shares are for the benefit of his heirs, and Lin disclaims beneficial ownership except to the extent of his voting power in the LLC-managed shares.
APPLIED OPTOELECTRONICS, INC. director Cynthia DeLaney reported an open-market sale of 56,575 shares of common stock on May 26, 2026 at a weighted average price of $189.23 per share. The sale was executed in multiple transactions at prices ranging from $185.00 to $194.78 per share.
Following this sale, DeLaney directly holds 59,647 shares of common stock. The filing also reports 2,380 shares held indirectly through her spouse, Norman Stephan Kinsella, with DeLaney disclaiming beneficial ownership of those shares except for any indirect pecuniary interest.
Applied Optoelectronics, Inc. director Cynthia DeLaney is listed for a planned sale of 56,575 common shares through Raymond James & Associates, at an aggregate market value of $10,702,548; the approximate sale date is May 26, 2026. A recent-sales entry attributes a sale of 21,000 common shares to Cindy DeLaney on March 4, 2026, for gross proceeds of $2,058,338.25.
APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported a mix of equity compensation and share dispositions. On May 15, 2026, he acquired 192,170 shares of common stock as a grant, described as settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned at maximum performance.
On May 19, 2026, 7,928 shares were withheld to satisfy applicable tax withholding obligations, and he completed an open-market sale of 39,154 shares at $173.26 per share. Following these transactions, he directly owned 462,430 shares of common stock.
APPLIED OPTOELECTRONICS, INC. Chief Financial Officer Stefan J. Murry reported a mix of equity compensation and share dispositions involving the company’s common stock. He received 249,110 shares on May 15, 2026 as a grant earned from performance-vesting restricted stock units for the 2023–2026 period at maximum performance.
On May 19, 2026, 30,330 shares were withheld to cover tax obligations, and he executed an open-market sale of 33,000 shares at $173.26 per share. Following these transactions, Murry directly held 451,906 shares of APPLIED OPTOELECTRONICS common stock.