Stefan J. Murry - 12 Jan 2026 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
Chief Financial Officer
Signature
/s/ David C. Kuo, attorney in fact for Stefan J. Murry
Issuer symbol
AAOI
Transactions as of
12 Jan 2026
Net transactions value
-$133,932
Form type
4
Filing time
14 Jan 2026, 16:02:12 UTC
Previous filing
12 Dec 2025
Next filing
20 Jan 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Murry Stefan J. Chief Financial Officer C/O APPLIED OPTOELECTRONICS, INC., 13139 JESS PIRTLE BLVD., SUGAR LAND /s/ David C. Kuo, attorney in fact for Stefan J. Murry 14 Jan 2026 0001587599

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AAOI Common Stock, $.001 par value Sale $101,242 -3,000 -1% $33.75 283,971 12 Jan 2026 Direct F1
transaction AAOI Common Stock, $.001 par value Sale $32,690 -934 -0.33% $35.00 283,037 13 Jan 2026 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 12, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $33.60 to $34.29 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.
F2 These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 12, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $35.00 to $35.02 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.