Form 4: Applied Optoelectronics Executive Acquires and Disposes of Shares

David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, reports acquisition of shares through performance vesting and disposition of shares to cover tax obligations.

Summary

• On May 9, 2025, David C. Kuo acquired 89,285 shares of Applied Optoelectronics common stock at $0.00 per share due to the settlement of performance vesting restricted stock units.
• These units were earned for the 2022-2025 performance period and settled with respect to maximum performance.
• On May 13, 2025, Kuo disposed of 34,091 shares at $14.76 per share to satisfy tax withholding obligations.
• Following these transactions, Kuo directly owns 165,326 shares of Applied Optoelectronics common stock.

Sentiment

Score: 5

Explanation: The document is a standard SEC filing detailing stock transactions by an executive. It doesn't inherently convey positive or negative sentiment, but the performance vesting suggests the company met certain goals.

Positives

• The acquisition of shares through performance vesting indicates that the company met maximum performance goals for the 2022-2025 period, which could be seen as a positive sign.

Industry Context

This filing is a routine disclosure of stock transactions by a company executive, which is common in the technology industry.

Stakeholder Impact

• The stock transactions may have a minor impact on shareholders, but the overall effect is likely minimal.

Key Dates

Keywords

Form 4, Beneficial Ownership, David C. Kuo, Applied Optoelectronics, AAOI, Stock Acquisition, Stock Disposition, Performance Vesting, Tax Withholding