Kuo David C 4

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.