Form 4: Applied Optoelectronics Executive Stock Tax Withholding

Senior Vice President and Chief Legal Officer David C. Kuo reported the surrender of 3,585 shares to satisfy tax obligations.

Summary

• David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, Inc. (AAOI), executed a transaction on April 22, 2026.
• A total of 3,585 shares of common stock were surrendered to the company to satisfy tax-withholding obligations related to the vesting of restricted stock units.
• The shares were valued at $150.57 per share.
• Following these transactions, the reporting person maintains direct beneficial ownership of 79,078 shares.

Sentiment

Score: 5

Explanation: StockSavvy.ai views this as a neutral administrative event, as the share reduction is solely for tax-withholding purposes and does not reflect a discretionary sale by the executive.

Positives

• The transaction reflects the vesting of previously granted equity awards, indicating ongoing compensation alignment with company performance.

Negatives

• The transaction represents a reduction in the reporting person's total share count, though it is strictly for tax-withholding purposes.

Risks

• None identified; this is a routine administrative transaction related to tax obligations.

Future Outlook

No forward-looking guidance provided in this filing.

Industry Context

StockSavvy.ai notes that routine tax-withholding filings by executives are standard corporate practice and do not typically signal a change in management sentiment regarding the company's long-term prospects.

Comparison to Industry Standards

• The transaction follows standard SEC reporting requirements for executive equity compensation.
• The use of 'sell-to-cover' or share surrender for tax obligations is a common practice among publicly traded technology firms.

Stakeholder Impact

• Minimal impact on shareholders as the transaction is a standard tax-related equity settlement.

Next Steps

• None indicated.

Key Dates

Keywords

AAOI, Applied Optoelectronics, Form 4, Insider Transaction, Tax Withholding, Equity Vesting