Company: AAOI
Filing Date: 2025-11-06
Form Type: 10-Q
Source: 0001437749-25-033627
Chunk: 94

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-11-06
Form: 10-Q
Item: Part I, Item 4
Chunk 94
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) under the Exchange Act ("Rule 10b5-1"), were as follows:
    
   ﻿NameTitle﻿Action﻿Date Adopted﻿Expiration Date﻿Aggregate # of Securities to be Purchased/Sold﻿
Stefan Murry(1)CFOAdoption﻿ August 12, 2025﻿ December 11, 2026﻿72,000

   (1) Stefan Murry, our Chief Financial Officer, entered into a Rule 10b5-1 Plan on  August 12, 2025. Dr. Murry's plan provides for the potential sale of up to 72,000 shares of the Company's common stock. The plan is set to expire on  December 11, 2026, or upon the earlier completion of all authorized transactions under the plan.

Item 6.   Exhibits

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See Exhibit Index.

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EXHIBIT INDEX

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      Number 
           
      Description 

     3.1*
      
     Restated Certificate of Incorporation (filed as Exhibit 3.2 to the Registrant's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 12, 2025).

      ​ 

      3.2* 
      ​ 
      Amended and Restated Bylaws, as currently in effect (filed as Exhibit 3.2 to the Registrant’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 14, 2013). 

      ​ 

     3.3*
      
     Amendment No. 1 to the Amended and Restated Bylaws, as currently in effect (filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on April 2, 2025).

      4.1* 
      ​ 
      Common Stock Specimen (filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on July 15, 2015). 

      ​ 
      ​ 
      ​ 

     4.2*
      
     Indenture, dated as of December 5, 2023 between Applied Optoelectronics, Inc. and Computershare Trust Company, as trustee (filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed with the Securities and