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. President and CEO Lin Chih-Hsiang (Thompson) reported several equity transactions. On May 15, 2026, he acquired 711,743 shares of common stock at $0.00 per share as a grant earned from performance-vesting restricted stock units for the 2023–2026 period at maximum performance. On May 19, 2026, the company withheld 86,655 shares to cover tax obligations related to this award, and he sold 58,000 shares in an open-market transaction at $173.26 per share. After these transactions, he directly held 2,255,693 shares of common stock.
APPLIED OPTOELECTRONICS, INC. executive David C. Kuo reported a mix of share grant, tax withholding, and an open‑market sale. On May 15, he acquired 156,583 shares of common stock at $0.00 per share as a grant earned from performance‑vesting restricted stock units covering the 2023–2026 period at maximum performance. To cover related tax obligations, 19,064 shares were disposed of on May 19 through shares withheld by the issuer. Also on May 19, he executed an open‑market sale of 19,227 shares at an average price of $173.26 per share. After the reported transactions, Kuo directly held 197,370 shares of AAOI common stock.
Applied Optoelectronics officer Chang Hung-Lun (Fred) reported a mix of stock awards and dispositions. On May 15, 2026, he received 224,199 shares of common stock at $0.00 per share as a grant earned from performance-vesting restricted stock units for the 2023–2026 period at maximum performance.
On May 19, 2026, he sold 33,630 shares in an open-market transaction at $173.26 per share and had 391,750 shares directly owned after this sale. That same day, 27,297 shares were withheld to cover applicable tax withholding obligations related to the award.
Charles Schwab Corp. submitted a Form 144 notice to sell 18,478 shares of Common stock.
The filing lists recent RSU vesting events of 7,011 shares (05/19/2026), 1,236 shares (06/11/2018), and 10,231 shares (12/11/2023). It also records a sale by Min-Chu Chen of 8,035 shares on 03/09/2026 for $873,540.94.
AAOI filed a Form 144 reporting a proposed sale of 33,000 shares of common stock to be sold on 05/19/2026. The notice lists Citigroup Global Markets as the broker. The filing also discloses recent sales by Stefan J. Murry — multiple transactions in Feb–May 2026 totaling several thousand shares.
Applied Optoelectronics, Inc. (AAOI) officer David C. Kuo, Senior Vice President and Chief Legal Officer, reported a proposed sale of 19,227 common shares, with an approximate sale date of May 19, 2026. The notice lists an aggregate market value of $3,331,270.02, based on the May 18 closing price of $173.26. The shares were acquired from the issuer as PSU, and Citigroup Global Markets is listed as broker. The notice also lists a sale of 29,000 common shares on March 19, 2026, for gross proceeds of $2,903,700.40.
AAOI filed a Form 144 notice reporting an intended resale of 33,630 common shares.
The filing names Citigroup Global Markets as the broker and lists a previously completed sale by Chang Hung-Lun of 36,400 common shares on 03/16/2026 for $3,648,918.00. Timing for the 33,630-share resale is shown as 05/19/2026.
Applied Optoelectronics, Inc. entered into an Equity Distribution Agreement with Raymond James & Associates and Needham & Company, allowing it to issue and sell up to $600 million of common stock through at-the-market offerings over time.
Sales will be made on Nasdaq or other markets pursuant to placement notices that set the share amount, time period, minimum price, and daily limits. The company is not obligated to sell any shares and can suspend or terminate the program at any time.
The sales agents will use commercially reasonable efforts to place stock and will receive a 2% commission on gross sales. Applied Optoelectronics will reimburse certain regulatory expenses up to $10,000, and in specified termination scenarios may reimburse additional out-of-pocket costs up to $30,000. The shares are registered under an existing automatic shelf registration on Form S-3ASR and a related prospectus supplement.