What SEC filings does Applied Optoelectronics, Inc. submit to the SEC?

Applied Optoelectronics, Inc. (AAOI) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about AAOI?

A Form 4 for AAOI discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Applied Optoelectronics, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for AAOI?

The 10-K is Applied Optoelectronics, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all AAOI SEC filings directly on EDGAR?

You can view all historical Applied Optoelectronics, Inc. filings on the SEC EDGAR company page for AAOI. Each filing card on this page links directly to the original SEC document.

How often does Applied Optoelectronics, Inc. file with the SEC?

Applied Optoelectronics, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling AAOI shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

AAOI SEC Filing News — Applied Optoelectronics, Inc.

Latest SEC filings for Applied Optoelectronics, Inc. (AAOI) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-14.

Applied Optoelectronics, Inc. engages in the design, manufacture, and sale of fiber-optic networking products in the United States, Taiwan, and China. The company offers optical modules, optical filters, lasers, laser components, subassemblies, transmitters and transceivers, turn-key equipment, headend, node, and distribution equipment, as well as amplifiers. It sells its products to internet data center operators, cable television, telecom equipment manufacturers, fiber-to-the-home, and interne…

Sector: Technology Industry: Communication Equipment Market Cap: $6.7B

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for AAOI currently lean bearish. Of the 20 filing records displayed, 6 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

AAOI Filing Activity Snapshot 2026-08-06 — 2026-10-14

Insider Transactions (Form 4)

0 buys vs 6 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$3.55M

Chang Hung-Lun (Fred) (*** See Remarks) · 2026-09-10

32,172 shares · Form 4

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 7 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 7 filings in this group are Form 4s for Applied Optoelectronics, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 7 insider filings shown, the breakdown is 6 open-market sale and 1 gift. 6 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market sale ×6: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Gift ×1: Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Form 4 Open-market sale Insider Selling 2026-10-14

AAOI insider Murry Stefan J. (Chief Financial Officer) sold 4,000 shares (~$411.5K)

Murry Stefan J., listed as Chief Financial Officer at APPLIED OPTOELECTRONICS, INC., reported an open-market sale of 4,000 AAOI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	4,000	$102.87	$411.5K

Filing: Form 4 (Insider Transaction) Insider: Murry Stefan J. (Chief Financial Officer) Shares: 4,000 Est. Value: $411.5K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-10-07

AAOI insider Yeh Shu-Hua (Joshua) (*** See Remarks) sold 6,000 shares (~$720.2K)

Yeh Shu-Hua (Joshua), listed as *** See Remarks at APPLIED OPTOELECTRONICS, INC., reported an open-market sale of 6,000 AAOI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	6,000	$120.03	$720.2K

Filing: Form 4 (Insider Transaction) Insider: Yeh Shu-Hua (Joshua) (*** See Remarks) Shares: 6,000 Est. Value: $720.2K

View on SEC EDGAR → Open Filing Document →

Form 4 Gift Tax / Compensation Filing 2026-09-17

AAOI insider Form 4 filed for equity award, exercise, or tax withholding

BLACK RICHARD B (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`G`	Gift	2,200	—	—

Filing: Form 4 (Insider Transaction) Insider: BLACK RICHARD B (Director) Shares: 2,200

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-09-10

AAOI insider Chang Hung-Lun (Fred) (*** See Remarks) sold 32,172 shares (~$3.55M)

Chang Hung-Lun (Fred), listed as *** See Remarks at APPLIED OPTOELECTRONICS, INC., reported an open-market sale of 32,172 AAOI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	32,172	$110.21	$3.55M

Filing: Form 4 (Insider Transaction) Insider: Chang Hung-Lun (Fred) (*** See Remarks) Shares: 32,172 Est. Value: $3.55M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-09-10

AAOI insider Murry Stefan J. (Chief Financial Officer) sold 4,000 shares (~$421.3K)

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	4,000	$105.33	$421.3K

Filing: Form 4 (Insider Transaction) Insider: Murry Stefan J. (Chief Financial Officer) Shares: 4,000 Est. Value: $421.3K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-20

AAOI insider Yeh Shu-Hua (Joshua) (*** See Remarks) sold 6,000 shares (~$886.4K)

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	6,000	$147.73	$886.4K

Filing: Form 4 (Insider Transaction) Insider: Yeh Shu-Hua (Joshua) (*** See Remarks) Shares: 6,000 Est. Value: $886.4K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-12

AAOI insider Murry Stefan J. (Chief Financial Officer) sold 4,000 shares (~$579.2K)

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	4,000	$144.79	$579.2K

Filing: Form 4 (Insider Transaction) Insider: Murry Stefan J. (Chief Financial Officer) Shares: 4,000 Est. Value: $579.2K

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 6 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Applied Optoelectronics, Inc. has 6 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-10-13

AAOI Form 144 filed for proposed insider sale

An insider at APPLIED OPTOELECTRONICS, INC. filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-10-05

AAOI Form 144 filed for proposed insider sale

An insider at APPLIED OPTOELECTRONICS, INC. filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-09-10

AAOI Form 144 filed for proposed insider sale

An insider at APPLIED OPTOELECTRONICS, INC. filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-09-09

AAOI Form 144 filed for proposed insider sale

An insider at APPLIED OPTOELECTRONICS, INC. filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-18

AAOI Form 144 filed for proposed insider sale

An insider at APPLIED OPTOELECTRONICS, INC. filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-10

AAOI Form 144 filed for proposed insider sale

An insider at APPLIED OPTOELECTRONICS, INC. filed a Form 144 notifying the SEC of an intent to sell shares. Form 144 is a proposed sale notice rather than confirmation that a sale already happened.

Filing: Form 144 (Proposed Sale Notice)

View on SEC EDGAR → Open Filing Document →

Material Events 6 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 6 in this period for Applied Optoelectronics, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-15

AAOI filed 8-K — material company event

APPLIED OPTOELECTRONICS, INC. filed an 8-K with the SEC reporting a material event. Read the SEC filing for the full details.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-09-10

AAOI filed 8-K — material company event

APPLIED OPTOELECTRONICS, INC. filed an 8-K with the SEC reporting a material event. Read the SEC filing for the full details.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-09-01

AAOI filed 8-K — material company event

APPLIED OPTOELECTRONICS, INC. filed an 8-K with the SEC reporting a material event. Read the SEC filing for the full details.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-08-24

AAOI filed 8-K — material company event

APPLIED OPTOELECTRONICS, INC. filed an 8-K with the SEC reporting a material event. Read the SEC filing for the full details.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-08-21

AAOI filed 8-K — material company event

APPLIED OPTOELECTRONICS, INC. filed an 8-K with the SEC reporting a material event. Read the SEC filing for the full details.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-08-06

AAOI filed 8-K — material company event

APPLIED OPTOELECTRONICS, INC. filed an 8-K with the SEC reporting a material event. Read the SEC filing for the full details.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Periodic Reports 1 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 quarterly report (10-Q) for Applied Optoelectronics, Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-08-06

AAOI filed Quarterly Report (10-Q)

APPLIED OPTOELECTRONICS, INC. filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

How we classify Applied Optoelectronics, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on AAOI. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — AAOI SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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