Kuo David C 4

4 · APPLIED OPTOELECTRONICS, INC. · Filed Feb 11, 2026

AI-generated summary of this filing

Updated Feb 11, 2026

AAOI Senior VP & CLO David Kuo Sells 20,000 Shares

What Happened

David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, reported a grant of 17,027 Restricted Stock Units (RSUs) and open‑market sales totaling 20,000 shares.
The RSU award was recorded 2026-02-09 (17,027 RSUs at $0). He sold 2,533 shares on 2026-02-10 for $126,654 (weighted avg $50.00) and 17,467 shares on 2026-02-11 for $876,251 (weighted avg $50.17). Total proceeds ≈ $1,002,905.
The sales are disposals (routine selling) executed under a pre-established Rule 10b5-1 trading plan.

Key Details

Transaction dates & prices:
- 2026-02-09: RSU grant — 17,027 RSUs (reported $0).
- 2026-02-10: Sold 2,533 shares at weighted avg $50.00 (range $50.000–$50.040) — $126,654.
- 2026-02-11: Sold 17,467 shares at weighted avg $50.17 (range $50.000–$50.440) — $876,251.
Total shares sold: 20,000; total reported proceeds ≈ $1,002,905.
Vesting note (footnote): RSUs granted under the company’s 2021 Equity Incentive Plan; vest one‑sixteenth every three months beginning Jan 21, 2026 (implies a 4‑year schedule).
Sales executed pursuant to a Rule 10b5‑1 plan adopted May 15, 2025; weighted averages reported and reporting person can provide per‑transaction details on request.
Shares owned after the transactions: not specified in the filing.
Filing date: 2026-02-11 (appears filed promptly following the transactions).

Context

The RSU grant is an award that vests over time; those shares are not necessarily immediately transferable.
Sales under a 10b5‑1 plan are pre‑arranged and generally considered routine dispositions rather than real‑time signals of insider sentiment.
This summary is factual only and does not infer motivation or investment advice.

Form 4

Period: 2026-02-09

*** See Remarks

Transactions

Award
Common Stock, $.001 par value
[F1]
2026-02-09+17,027→ 131,663 total
Sale
Common Stock, $.001 par value
[F2]
2026-02-10$50.00/sh−2,533$126,654→ 129,130 total
Sale
Common Stock, $.001 par value
[F3]
2026-02-11$50.17/sh−17,467$876,251→ 111,663 total

Footnotes (3)

[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.
[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.
[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..

Signature

/s/ David C. Kuo|2026-02-11

1 file