SEC Form 4 · accession 0001683168-26-005740
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Kuo
Officer — *** See Remarks
Period of report
Jul 22, 2026
Accepted (ET)
Jul 23, 2026 · 5:12 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001158114
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.001 par valueF1 | Jul 22, 2026 | F | 1,869 | $119.26 | D | 147,209 | D | |
| Common Stock, $.001 par valueF2 | Jul 22, 2026 | F | 472 | $119.26 | D | 146,737 | D | |
| Common Stock, $.001 par valueF3 | Jul 22, 2026 | F | 516 | $119.26 | D | 146,221 | D | |
| Common Stock, $.001 par valueF4 | Jul 22, 2026 | F | 407 | $119.26 | D | 145,814 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
- F2Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
- F3Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
- F4Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.
Remarks
***Senior Vice President and Chief Legal Officer