Form 4: Applied Optoelectronics Executive Reports Routine Stock Disposition for Tax Obligations
Insider Transaction Report
David C. Kuo, Senior Vice President and Chief Legal Officer at Applied Optoelectronics, reported the disposition of 4,529 shares of common stock to cover tax withholding obligations related to the vesting of restricted stock units.
Summary
- David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, Inc. (AAOI), reported the disposition of 4,529 shares of common stock.
- The shares were surrendered to the issuer to satisfy tax-withholding obligations.
- These obligations arose from the vesting of restricted stock unit (RSU) awards.
- The transactions occurred on July 22, 2025, with shares valued at $28.23 per share.
- Following these transactions, David C. Kuo beneficially owns 149,371 shares of common stock.
- The RSU awards were granted on various dates: June 11, 2021; June 27, 2022; June 26, 2023; April 29, 2024; and April 11, 2025.
Sentiment
Score: 5
Explanation: The filing reports a routine insider transaction related to tax withholding on vested equity awards, which is a neutral event and does not indicate positive or negative sentiment regarding the company's performance or outlook.
Future Outlook
NA
Industry Context
This filing is a routine insider transaction report (Form 4) and does not provide broader industry context or trends. It reflects standard equity compensation practices within the technology sector, where restricted stock units are a common form of executive remuneration.
Stakeholder Impact
- Minimal direct impact on shareholders as this is a routine tax-related disposition of shares by an executive, not a discretionary sale.
- No direct impact on employees, customers, suppliers, or creditors is indicated by this filing.
Key Dates
| Date | Description |
|---|---|
| 2021-06-11 | Grant date of a restricted stock unit award. |
| 2022-06-27 | Grant date of a restricted stock unit award. |
| 2023-06-26 | Grant date of a restricted stock unit award. |
| 2024-04-29 | Grant date of a restricted stock unit award. |
| 2025-04-11 | Grant date of a restricted stock unit award. |
| 2025-07-22 | Date of transactions where shares were surrendered for tax withholding upon RSU vesting. |
| 2025-07-24 | Date the Form 4 filing was signed. |
Keywords
Applied Optoelectronics, AAOI, Form 4, insider transaction, stock disposition, tax withholding, restricted stock units, RSU, David C. Kuo, corporate officer, equity compensation
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