Kuo David C 4
4 · APPLIED OPTOELECTRONICS, INC. · Filed Jan 26, 2026
Research Summary
AI-generated summary of this filing
AAOI Chief Legal Officer David Kuo Surrenders 4,312 Shares for Taxes
What Happened David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics (AAOI), surrendered a total of 4,312 shares to the company on Jan 22, 2026 to satisfy tax-withholding obligations tied to vested restricted stock units (RSUs). The shares were surrendered at $38.38 per share in four separate withholdings: 1,172 shares ($44,981), 2,054 shares ($78,833), 519 shares ($19,919), and 567 shares ($21,761), totaling approximately $165,494.
Key Details
- Transaction date: 2026-01-22; Filing date: 2026-01-26 (filed within the typical 2-business-day window).
- Price per share: $38.38; Total shares surrendered: 4,312; Aggregate value: ~$165,494.
- Footnotes indicate these were tax-withholding surrenders tied to RSU grants on 6/27/2022 (F1), 6/26/2023 (F2), 4/29/2024 (F3) and 4/11/2025 (F4).
- Transaction code F = tax withholding (shares surrendered to issuer). This was not an open-market sale.
- Shares owned after the transaction: not disclosed in the provided filing.
Context These transactions represent routine tax-withholding by the company when RSUs vest (a form of cashless/settlement withholding), not discretionary market sales that might signal a change in insider sentiment. For retail investors, tax-withholding surrenders are common and generally not viewed as either a bullish or bearish trading signal on their own.
Insider Transaction Report
- Tax Payment
Common Stock, $.001 par value
[F1]2026-01-22$38.38/sh−1,172$44,981→ 129,776 total - Tax Payment
Common Stock, $.001 par value
[F2]2026-01-22$38.38/sh−2,054$78,833→ 127,722 total - Tax Payment
Common Stock, $.001 par value
[F3]2026-01-22$38.38/sh−519$19,919→ 127,203 total - Tax Payment
Common Stock, $.001 par value
[F4]2026-01-22$38.38/sh−567$21,761→ 126,636 total
Footnotes (4)
- [F1]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
- [F2]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
- [F3]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
- [F4]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.