Marex discloses 4,486,292 shares (5.6%) of AAOI

Applied Optoelectronics, Inc. reports that Marex Securities Products, Inc. and Marex Group plc beneficially own 4,486,292 shares of Common Stock, representing 5.6% of the class as reported on 05/08/2026.

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. reports that Marex Securities Products, Inc. and Marex Group plc beneficially own 4,486,292 shares of Common Stock, representing 5.6% of the class as reported on 05/08/2026.

The filing lists sole voting and sole dispositive power over the 4,486,292 shares. The Schedule 13G reflects an institutional disclosure of holdings rather than an acquisition announcement.

Insights

Governance Analyst

Institutional holder reports a passive stake of 5.6% in AAOI.

The Schedule 13G filed by Marex Securities Products, Inc. and Marex Group plc states 4,486,292 shares beneficially owned, with sole voting and dispositive power reported on 05/08/2026. This form typically signals passive institutional ownership rather than activist intent.

Future filings could show changes in position or move to a Schedule 13D if the holder takes an active role; timing and intent are not stated in the excerpt.

Equity Markets Strategist

Holding size is disclosed; market impact depends on trading behavior.

The reported stake equals 5.6% of the class (4,486,292 shares). The filing documents sole voting and dispositive power, indicating control over trading decisions for that block within regulatory thresholds.

Whether this position creates selling or buying pressure depends on subsequent transactions; subsequent Section 16 or Schedule 13 filings would clarify activity.

Key Figures

Beneficial ownership: 4,486,292 shares Percent of class: 5.6% Sole voting power: 4,486,292 shares +1 more

4 metrics

Beneficial ownership 4,486,292 shares reported on 05/08/2026

Percent of class 5.6% ownership percentage reported in Schedule 13G

Sole voting power 4,486,292 shares number with sole voting power per filing

Sole dispositive power 4,486,292 shares number with sole dispositive power per filing

Key Terms

Schedule 13G, Beneficially owned, Sole Dispositive Power

3 terms

Schedule 13G regulatory

"Item 1. (a) Name of issuer: APPLIED OPTOELECTRONICS, INC."

A Schedule 13G is a formal document that investors file with the government when they acquire a large ownership stake in a company, usually for investment purposes rather than control. It helps keep the public informed about who owns significant parts of a company's shares, which can influence how the company is managed and how investors make decisions. Filing this schedule is important for transparency and understanding the ownership landscape of publicly traded companies.

Beneficially owned financial

"Item 4. (a) Amount beneficially owned: 4,486,292"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

Sole Dispositive Power regulatory

"7 | Sole Dispositive Power 4,486,292.00"

Sole dispositive power is the exclusive legal authority to decide what happens to a security — for example, whether to sell, transfer, or retain shares — without needing anyone else’s permission. Investors care because it signals who truly controls the economic outcome of an investment: like holding the only key to a safe, the holder can realize gains or losses and may trigger regulatory reporting, insider rules, or influence over corporate ownership.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What stake does Marex hold in Applied Optoelectronics (AAOI)?

Marex reports beneficial ownership of 4,486,292 shares, equal to 5.6% of AAOI's common stock as reported on 05/08/2026. The filing shows sole voting and dispositive power over those shares.

Does the Schedule 13G from Marex indicate activist intent for AAOI?

No. The Schedule 13G format indicates an institutional passive investor reporting holdings. The filing lists ownership and powers but does not state any plan to change control or launch proposals.

Who filed the ownership report for AAOI and where are they organized?

The report was filed by Marex Securities Products, Inc. (organized in Delaware) and Marex Group plc (organized in the United Kingdom). Addresses appear in New York and London in the filing.

What powers over the shares does Marex report for AAOI holdings?

Marex reports sole voting power and sole dispositive power for all 4,486,292 shares. The filing shows zero shared voting or dispositive power for this position.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/13/2026 - 10:50 AM EDT Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

APPLIED OPTOELECTRONICS, INC.

(Name of Issuer)

Common Stock, par value $0.001

(Title of Class of Securities)

03823U102

(CUSIP Number)

05/08/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

Marex Securities Products Inc.

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 4,486,292.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 4,486,292.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

4,486,292.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

5.6 %

12

Type of Reporting Person (See Instructions)

CO

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

Marex Group plc

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

UNITED KINGDOM

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 4,486,292.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 4,486,292.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

4,486,292.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

5.6 %

12

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13G

Item 1.
(a)	Name of issuer: APPLIED OPTOELECTRONICS, INC.
(b)	Address of issuer's principal executive offices: 13139 JESS PIRTLE BLVD, SUGAR LAND, TEXAS, 77478.
Item 2.
(a)	Name of person filing: Marex Securities Products, Inc. Marex Group plc
(b)	Address or principal business office or, if none, residence: Marex Securities Products, Inc. 140?East?45th?Street,?Floor?10?&?11 New?York, NY 10017 Marex Group plc 155 Bishopsgate London, X0 EC2M 3TQ
(c)	Citizenship: Marex Securities Products, Inc. Delaware Marex Group plc United Kingdom
(d)	Title of class of securities: Common Stock, par value $0.001
(e)	CUSIP Number(s): 03823U102
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: 4,486,292
(b)	Percent of class: 5.6 %
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: 4,486,292
	(ii) Shared power to vote or to direct the vote: 0
	(iii) Sole power to dispose or to direct the disposition of: 4,486,292
	(iv) Shared power to dispose or to direct the disposition of: 0
Item 5.	Ownership of 5 Percent or Less of a Class.
	Not Applicable
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	Not Applicable
Item 8.	Identification and Classification of Members of the Group.
	Not Applicable
Item 9.	Notice of Dissolution of Group.
	Not Applicable

Item 10.

Certifications:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Marex Securities Products Inc.

Signature:	Jennifer Kaiser
Name/Title:	COO
Date:	05/13/2026

Marex Group plc

Signature:	Scott Linsley
Name/Title:	Corporate Secretary
Date:	05/13/2026