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.
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.
Applied Optoelectronics officer reports tax-related share surrenders. On January 22, 2026, Senior Vice President and Asia General Manager Shu-Hua (Joshua) Yeh had multiple Form 4 transactions coded "F" in common stock at $38.38 per share. Footnotes state the transactions reflect shares surrendered back to the company to cover tax-withholding obligations when previously granted restricted stock units vested. After these tax withholdings, Yeh directly beneficially owns 346,252 shares of Applied Optoelectronics common stock.
Applied Optoelectronics, Inc.’s Chief Financial Officer, Stefan J. Murry, reported several administrative share transactions related to equity compensation. On January 22, 2026, he surrendered 2,049, 3,267, 747, and 1,087 shares of common stock at $38.38 per share to the company to satisfy tax‑withholding obligations upon the vesting of previously granted restricted stock units from awards dated June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025. After these withholdings, he directly beneficially owned 275,821 shares of Applied Optoelectronics common stock.
Applied Optoelectronics President and CEO Chih-Hsiang (Thompson) Lin reported multiple share surrenders to the company to cover tax-withholding obligations tied to vested restricted stock units. On January 22, 2026, four Form 4 transactions coded "F" show common shares surrendered at $38.38 per share in connection with RSU awards granted in June 2022, June 2023, April 2024, and April 2025. Following these tax-withholding transactions, Lin beneficially owned 1,622,718 shares of Applied Optoelectronics common stock directly.
Applied Optoelectronics senior vice president and chief legal officer David C. Kuo reported several share transactions tied to restricted stock units that vested on January 22, 2026. In four separate entries coded "F," he surrendered blocks of common stock at $38.38 per share back to the company to cover tax-withholding obligations on prior RSU grants from 2022, 2023, 2024, and 2025. These are withholding-related share surrenders, not open-market sales. After the final transaction, he directly beneficially owned 126,636 shares of Applied Optoelectronics common stock.
Applied Optoelectronics executive Hung-Lun (Fred) Chang reported multiple share surrenders to cover taxes on restricted stock units that vested. On January 22, 2026, he surrendered 1,874, 2,940, 674, and 850 shares of common stock at a price of $38.38 per share, in four separate transactions coded “F” for tax withholding. These shares were returned to the company to satisfy tax-withholding obligations tied to RSU awards granted in 2022, 2023, 2024, and 2025. After these transactions, Chang directly beneficially owned 244,219 shares of Applied Optoelectronics common stock.
Applied Optoelectronics, Inc.’s Chief Financial Officer, Stefan J. Murry, reported selling 66 shares of common stock on January 15, 2026 at a price of $35.01 per share. After this small sale, he beneficially owned 282,971 shares of the company’s common stock. The transaction was executed under a pre-arranged Rule 10b5-1 trading plan that he adopted on August 12, 2025, which is designed to allow insiders to sell shares according to a preset schedule.
Applied Optoelectronics’ Chief Financial Officer Stefan J. Murry reported small, pre‑planned stock sales. On January 12, 2026, he sold 3,000 shares of common stock at a weighted average price of $33.7473 per share. On January 13, 2026, he sold another 934 shares at a weighted average price of $35.0005 per share.
Both transactions were executed under a Rule 10b5-1 trading plan that Murry adopted on August 12, 2025, meaning the sales were scheduled in advance. After these trades, he continued to beneficially own 283,037 shares of Applied Optoelectronics common stock, held directly.
Applied Optoelectronics insider Stefan Murry has filed a Form 144 notice to sell 1,000 shares of common stock. The planned sale, with an aggregate market value of $35,000, is to be executed through Raymond James & Associates on NASDAQ, with an approximate sale date of January 13, 2026. The filing notes that 68,278,417 shares of common stock were outstanding.
The securities to be sold were acquired on October 23, 2024 as restricted stock units (RSUs) from the issuer, with 2,777 shares acquired and payment described as non-cash (N/A). Over the past three months, Murry has sold 3,000 common shares on January 13, 2026 for gross proceeds of $101,086 and 4,000 common shares on December 10, 2025 for gross proceeds of $126,006.
An AAOI insider has filed a Rule 144 notice to sell 3,000 shares of common stock through Raymond James & Associates on NASDAQ, with an indicated aggregate market value of $101,086.00. The filing notes that 68,278,417 shares of the issuer’s common stock were outstanding.
The shares to be sold come from restricted stock units (RSUs) acquired from the issuer, including 223 shares on 05/23/2024 and 2,777 shares on 10/23/2024. The form also reports that Stefan Murry sold 4,000 common shares on 12/10/2025 for gross proceeds of $126,006.00, providing recent context for the planned sale.