Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2026-02-11 00:00:00 ET · period of report 2026-02-09 · accession 0001683168-26-000923 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2026-02-11 | 2026-02-09 | AAOI | Kuo David C | *** See Remarks | A - Grant | $0.00 | +17.0K | 131.7K | +15% | $0 | |
| M | 2026-02-11 | 2026-02-10+ | AAOI | Kuo David C | *** See Remarks | S - Sale | $50.15 | -20.0K | 129.1K | -13% | -$1.00M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $.001 par value | 2026-02-09 | A | A | 17,027 | $0.00 | 131,663 | D | — | — | (F1) The Restricted Stock Units (RSUs) were granted under the Company's Amended and Restated 2021 Equity Incentive Plan, one-sixteen of the RSUs vest every three months commencing on January 21, 2026. |
| 2 | Common | Common Stock, $.001 par value | 2026-02-11 | S | D | 17,467 | $50.17 | 111,663 | D | — | — | (F3) These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $50.000 to $50.440 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.. |
| 3 | Common | Common Stock, $.001 par value | 2026-02-10 | S | D | 2,533 | $50.00 | 129,130 | D | — | — | (F2) These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $50.000 to $50.040 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction. |