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.
Yeh Shu-Hua (Joshua) reported acquisition or exercise transactions in this Form 4 filing.
Applied Optoelectronics executive Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager, reported an equity award of 25,799 shares of common stock on February 9, 2026. The shares reflect Restricted Stock Units granted at a price of $0.00 under the company’s Amended and Restated 2021 Equity Incentive Plan.
Following this grant, Yeh beneficially owns 372,051 common shares directly. The RSUs vest over time, with one‑sixteenth of the award vesting every three months starting on January 21, 2026, creating a gradual, service-based vesting schedule.
Applied Optoelectronics Chief Financial Officer Stefan J. Murry reported both a stock award and share sales. On February 9, 2026, he acquired 32,249 shares of common stock for $0.00 per share as Restricted Stock Units that vest in sixteen equal quarterly installments starting January 21, 2026. On February 10–11, 2026, he sold a total of 18,020 shares in open-market transactions at weighted average prices between about $48.68 and $50.25, under a Rule 10b5-1 trading plan adopted on August 12, 2025. After these transactions, he directly owned 290,050 shares of Applied Optoelectronics common stock.
Applied Optoelectronics President and CEO Chih-Hsiang (Thompson) Lin acquired 82,559 shares of common stock through a grant of restricted stock units at $0.00 per share. The RSUs were issued under the Amended and Restated 2021 Equity Incentive Plan.
One-sixteenth of the RSUs vest every three months, starting on January 21, 2026. Following this award, Lin directly beneficially owns 1,705,277 shares of Applied Optoelectronics common stock.
Applied Optoelectronics executive David C. Kuo reported both equity awards and stock sales. On February 9, 2026, he acquired 17,027 shares of common stock at $0.00 per share as a grant of restricted stock units under the Amended and Restated 2021 Equity Incentive Plan, with one‑sixteenth vesting every three months starting January 21, 2026.
He then executed open‑market sales under a pre‑arranged Rule 10b5‑1 trading plan adopted May 15, 2025, selling 2,533 shares at a weighted average price of $50.0015 on February 10, 2026 and 17,467 shares at a weighted average price of $50.1661 on February 11, 2026. After these transactions, he directly held 111,663 shares of Applied Optoelectronics common stock.
Chang Hung-Lun (Fred) reported acquisition or exercise transactions in this Form 4 filing.
Applied Optoelectronics executive Hung-Lun (Fred) Chang, Senior Vice President and North America General Manager, received a grant of 25,799 shares of common stock in the form of restricted stock units at a per-share price of $0.00. Following this equity award, he directly holds 270,018 shares of common stock. The RSUs vest in sixteen equal installments, with one-sixteenth vesting every three months starting on January 21, 2026, creating a multi-year, time-based vesting schedule tied to continued service.
Applied Optoelectronics insider plans additional stock sale under Rule 144. A holder for the account of David Kuo intends to sell 17,467 shares of AAOI common stock through Raymond James & Associates on the NASDAQ around 02/11/2026, with an aggregate market value of approximately 876,251.27. These shares were acquired as performance stock units (PSUs) from the issuer on 05/13/2025.
Over the prior three months, the same account sold 2,533, 12,500 and 12,500 common shares on 02/10/2026, 01/28/2026 and 12/23/2025, receiving gross proceeds of 126,654.00, 540,671.00 and 501,881.00. Shares outstanding were 68,279,888 common shares, providing context for the size of these planned and recent sales.
Form 144 reports a planned insider sale of 6,327 common shares. The shares are to be sold through Raymond James & Associates, with an aggregate market value of $311,068.23, and an approximate sale date of February 10, 2026 on the NASDAQ market.
The 6,327 shares of common stock were acquired on January 22, 2025 as part of a restricted stock unit (RSU) award from the issuer. The filing also notes prior sales of common shares over the past three months by Stefan Murry, listing several transactions with their respective dates, share amounts, and gross proceeds.
AAOI shareholder David Kuo has filed a Rule 144 notice to sell common stock. The filing covers 2,533 shares of common stock to be sold through Raymond James & Associates on NASDAQ around 02/10/2026, with an aggregate market value of $126,653.80. The issuer had 68,279,888 shares of common stock outstanding.
The securities to be sold were acquired on 05/13/2025 via a PSU (performance stock unit) transaction from the issuer. In the past three months, David Kuo also sold 12,500 common shares on 12/23/2025 for gross proceeds of $501,881.00 and another 12,500 common shares on 01/28/2026 for $540,671.00.
Applied Optoelectronics insider David C. Kuo, Senior Vice President and Chief Legal Officer, sold 12,000 shares of common stock on January 28, 2026, at a weighted average price of $45.055 per share. The sale was made under a pre-established Rule 10b5-1 trading plan adopted on May 15, 2025.
After these transactions, Kuo directly held 114,636 shares of Applied Optoelectronics common stock. The shares were sold in multiple trades within a price range of $45.000 to $45.225 per share, with the reported price representing the weighted average.
Applied Optoelectronics insider David Kuo has filed a Form 144 to sell 12,000 shares of common stock. The planned sale is through Raymond James & Associates, with an aggregate market value of 540,670.80, and is expected around 01/28/2026 on the NASDAQ market.
The filing notes that 68,279,888 shares of common stock were outstanding. The 12,000 shares to be sold were acquired via restricted stock units on several 2025 grant dates, including 861 shares on 01/22/2025 and 6,482 shares on 04/22/2025. In the past three months, Kuo also sold 12,500 common shares on 12/23/2025 for gross proceeds of 501,881.00.