Form 4: AAOI SVP Sells 12,000 Shares Under Pre-Arranged Plan

Applied Optoelectronics' Senior Vice President and Chief Legal Officer, David C. Kuo, sold 12,000 shares of common stock as part of a pre-arranged trading plan.

Summary

• David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, Inc. (AAOI), reported the sale of 12,000 shares of common stock.
• The transaction occurred on January 28, 2026, at a weighted average sale price of $45.055 per share.
• The shares were sold pursuant to a Rule 10b5-1 trading plan, which was adopted by Mr. Kuo on May 15, 2025.
• Actual sale prices for the transactions ranged from $45.000 to $45.225 per share.
• Following this transaction, Mr. Kuo beneficially owns 114,636 shares of common stock directly.

Sentiment

Score: 5

Explanation: StockSavvy.ai views this as a neutral event. The sale was conducted under a Rule 10b5-1 plan, which suggests it was a pre-scheduled, non-discretionary transaction rather than a reaction to recent company performance or outlook.

Future Outlook

NA

Industry Context

StockSavvy.ai notes that this Form 4 filing reports a routine insider transaction under a pre-established 10b5-1 trading plan, which is a common practice for corporate executives to sell shares systematically without being accused of trading on material non-public information. Such transactions typically do not reflect a change in the company's immediate strategic direction or industry position.

Stakeholder Impact

• Shareholders: The sale represents a minor reduction in insider ownership, but its execution under a 10b5-1 plan mitigates concerns about management's immediate sentiment towards the stock.

Key Dates

Keywords

AAOI, Applied Optoelectronics, Insider Trading, Form 4, Stock Sale, David C. Kuo, 10b5-1 Plan