David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, Inc. (NASDAQ:AAOI), filed a Form 4 on October 26, 2026, disclosing four share-disposition transactions on October 22, 2026, each representing shares surrendered to satisfy tax-withholding obligations upon the vesting of restricted stock unit awards.

Key Highlights

  • Reporting person: David C. Kuo, Senior Vice President and Chief Legal Officer of Applied Optoelectronics, Inc.
  • Transaction date: All four dispositions occurred on October 22, 2026, at a price of $77.32 per share.
  • Shares surrendered: A total of 3,586 shares of Common Stock, $.001 par value, were disposed of (coded "F") to cover tax-withholding obligations across four vesting events.
  • RSU grant dates: The four vesting events relate to RSU awards originally granted on June 26, 2023; April 29, 2024; April 11, 2025; and February 9, 2026, respectively.
  • Shares surrendered per vesting: 2,053 shares (June 2023 grant), 519 shares (April 2024 grant), 567 shares (April 2025 grant), and 447 shares (February 2026 grant).
  • Remaining beneficial ownership: Following all four transactions, Kuo directly beneficially owned 142,228 shares of Common Stock.

Applied Optoelectronics Officer Surrenders RSU Shares for Tax Withholding on October 22, 2026

According to the Form 4 filed with the SEC on October 26, 2026, David C. Kuo, identified in the filing as Senior Vice President and Chief Legal Officer of Applied Optoelectronics, Inc., reported four separate dispositions of Common Stock, $.001 par value, each carrying transaction code "F." The filing states that each transaction reflects shares surrendered to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit awards, not open-market sales.

The filing details four distinct RSU grants that triggered withholding events on October 22, 2026. The first disposition involved 2,053 shares tied to an RSU award granted on June 26, 2023, leaving Kuo with 143,761 shares directly owned. A second disposition of 519 shares related to an award granted on April 29, 2024 reduced that figure to 143,242 shares. A third disposition of 567 shares, tied to an award granted on April 11, 2025, brought the total to 142,675 shares. A fourth and final disposition of 447 shares, connected to an award granted on February 9, 2026, resulted in a closing directly owned position of 142,228 shares. All four transactions were executed at the same price of $77.32 per share, according to the filing.

The filing was signed by David C. Kuo on October 26, 2026, and indicates the form was filed by one reporting person. No derivative securities transactions were reported in Table II of the filing.

What Was Disclosed

The Form 4 discloses four tax-withholding share surrenders by Applied Optoelectronics' Senior Vice President and Chief Legal Officer on October 22, 2026, totaling 3,586 shares at $77.32 each, with a resulting direct ownership of 142,228 shares of Common Stock.