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[8-K] Applied Optoelectronics, Inc. Reports Material Event

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
8-K
Rhea-AI Filing Summary

Form 4 filing � Anterix Inc. (ATEX)

Director Leslie B. Daniels was granted 7,767 restricted shares on 08/05/2025 as routine non-employee director compensation at $0 cost. The award vests in full on the earlier of (i) 08/05/2026 or (ii) the company’s next annual shareholder meeting, with automatic deferral if that date falls within a trading blackout.

After the grant, Daniels� holdings rise to 54,479 directly owned shares; he also controls 2,000 shares via an IRA and 5,000 shares via a 401(k). No sales or derivative transactions were reported.

The transaction is a standard equity-based retainer meant to align director and shareholder interests and carries no immediate impact on Anterix’s fundamentals or capital structure.

Deposito del Modulo 4 � Anterix Inc. (ATEX)

Il direttore Leslie B. Daniels ha ricevuto 7.767 azioni vincolate in data 05/08/2025 come compenso abituale per direttore non dipendente, a costo nullo. Il premio si completa interamente alla prima tra (i) il 05/08/2026 o (ii) la prossima assemblea annuale degli azionisti della società, con differimento automatico se la data cade in un periodo di blackout di negoziazione.

Dopo l’assegnazione, le partecipazioni di Daniels salgono a 54.479 azioni possedute direttamente; inoltre controlla 2.000 azioni tramite un IRA e 5.000 azioni tramite un 401(k). Non sono state segnalate vendite o operazioni su derivati.

La transazione rappresenta un compenso standard basato su azioni, volto ad allineare gli interessi del direttore con quelli degli azionisti e non ha alcun impatto immediato sui fondamentali o sulla struttura del capitale di Anterix.

Presentación del Formulario 4 � Anterix Inc. (ATEX)

El director Leslie B. Daniels recibió 7,767 acciones restringidas el 05/08/2025 como compensación habitual para directores no empleados, a costo cero. La concesión se consolida por completo en la fecha que ocurra primero entre (i) el 05/08/2026 o (ii) la próxima junta anual de accionistas de la empresa, con aplazamiento automático si esa fecha coincide con un periodo de suspensión de negociación.

Tras la concesión, las participaciones de Daniels aumentan a 54,479 acciones de propiedad directa; además, controla 2,000 acciones a través de una IRA y 5,000 acciones a través de un 401(k). No se reportaron ventas ni transacciones con derivados.

La transacción es una retención estándar basada en acciones destinada a alinear los intereses del director con los de los accionistas y no tiene impacto inmediato en los fundamentos ni en la estructura de capital de Anterix.

Form 4 제출 � Anterix Inc. (ATEX)

ì´ì‚¬ Leslie B. DanielsëŠ� 2025ë…� 8ì›� 5ì¼ì— 비ì§ì›� ì´ì‚¬ ë³´ìƒìœ¼ë¡œ 7,767 제한 주ì‹ì� 무ìƒìœ¼ë¡œ 부여받았습니다. ì� ë³´ìƒì€ (i) 2026ë…� 8ì›� 5ì� ë˜ëŠ” (ii) 회사ì� ë‹¤ìŒ ì—°ë¡€ 주주ì´íšŒ ì¤� 빠른 ë‚ ì§œì—� ì „ì•¡ ì·¨ë“ë˜ë©°, 해당 날짜가 거래 ì •ì§€ 기간ì—� 해당하면 ìžë™ 연기ë©ë‹ˆë‹�.

ë¶€ì—� í›� Danielsì� 보유 주ì‹ì€ ì§ì ‘ 소유í•� 54,479ì£�ë¡� ì¦ê°€í•˜ë©°, IRAë¥� 통해 2,000ì£�, 401(k)ë¥� 통해 5,000ì£�ë¥� 추가ë¡� 보유하고 있습니다. 매ë„ë‚� 파ìƒìƒí’ˆ 거래ëŠ� ë³´ê³ ë˜ì§€ 않았습니ë‹�.

ì� 거래ëŠ� ì´ì‚¬ì™€ 주주ì� ì´ìµì� ì¼ì¹˜ì‹œí‚¤ê¸� 위한 표준 ì£¼ì‹ ê¸°ë°˜ 보수ì´ë©° Anterixì� 기본 재무 ìƒíƒœë‚� ìžë³¸ 구조ì—� 즉ê°ì ì¸ ì˜í–¥ì� 없습니다.

Dépôt du formulaire 4 � Anterix Inc. (ATEX)

Le directeur Leslie B. Daniels s’est vu attribuer 7 767 actions restreintes le 05/08/2025 en tant que rémunération habituelle pour un administrateur non salarié, à coût nul. L’attribution sera entièrement acquise à la première date entre (i) le 05/08/2026 ou (ii) la prochaine assemblée annuelle des actionnaires de la société, avec report automatique si cette date coïncide avec une période de blackout de négociation.

Après cette attribution, les avoirs de Daniels s’élèvent à 54 479 actions détenues directement ; il contrôle également 2 000 actions via un IRA et 5 000 actions via un 401(k). Aucune vente ni transaction sur dérivés n’a été signalée.

Cette opération constitue une rémunération standard basée sur des actions visant à aligner les intérêts de l’administrateur avec ceux des actionnaires et n’a aucun impact immédiat sur les fondamentaux ou la structure du capital d’Anterix.

Formular 4 Einreichung � Anterix Inc. (ATEX)

Direktor Leslie B. Daniels erhielt am 05.08.2025 7.767 eingeschränkte Aktien als routinemäßige Vergütung für nicht angestellte Direktoren zu keinen Kosten. Die Zuteilung wird vollständig fällig am jeweils früheren Zeitpunkt von (i) 05.08.2026 oder (ii) der nächsten jährlichen Hauptversammlung des Unternehmens, mit automatischer Verschiebung, falls dieses Datum in eine Handelsunterbrechung fällt.

Nach der Zuteilung erhöht sich Daniels� Anteil auf 54.479 direkt gehaltene Aktien; zudem kontrolliert er 2.000 Aktien über ein IRA und 5.000 Aktien über einen 401(k). Verkäufe oder Derivatgeschäfte wurden nicht gemeldet.

Die Transaktion stellt eine standardmäßige aktienbasierte Vergütung dar, die darauf abzielt, die Interessen von Direktor und Aktionären in Einklang zu bringen, und hat keinen unmittelbaren Einfluss auf die Fundamentaldaten oder Kapitalstruktur von Anterix.

Positive
  • None.
Negative
  • None.

Insights

TL;DR: Routine director stock grant; signals alignment, not insider conviction; neutral for valuation.

Equity compensation for outside directors is standard practice among mid-cap communications companies. The 7,767-share grant, worth roughly low-seven figures at recent prices, modestly increases board ownership but does not represent an open-market purchase. Because vesting is time-based and linked to the next AGM, it is unlikely to affect short-term trading sentiment. No red flags such as accelerated vesting, option repricing or simultaneous sales appear. I rate the filing neutral (0) and not materially impactful.

TL;DR: Small, non-cash award; no buy/sell signal; ignore for portfolio positioning.

The increase in Daniels� direct stake to 54.5k shares equates to well under 1 % of ATEX’s float, so dilution is immaterial. Because there were no dispositions, the filing doesn’t imply bearish sentiment. Similarly, absent performance conditions, the grant doesn’t strengthen incentives beyond baseline. From a portfolio perspective, the event neither alters risk nor valuation and therefore has negligible impact on investment thesis or weighting.

Deposito del Modulo 4 � Anterix Inc. (ATEX)

Il direttore Leslie B. Daniels ha ricevuto 7.767 azioni vincolate in data 05/08/2025 come compenso abituale per direttore non dipendente, a costo nullo. Il premio si completa interamente alla prima tra (i) il 05/08/2026 o (ii) la prossima assemblea annuale degli azionisti della società, con differimento automatico se la data cade in un periodo di blackout di negoziazione.

Dopo l’assegnazione, le partecipazioni di Daniels salgono a 54.479 azioni possedute direttamente; inoltre controlla 2.000 azioni tramite un IRA e 5.000 azioni tramite un 401(k). Non sono state segnalate vendite o operazioni su derivati.

La transazione rappresenta un compenso standard basato su azioni, volto ad allineare gli interessi del direttore con quelli degli azionisti e non ha alcun impatto immediato sui fondamentali o sulla struttura del capitale di Anterix.

Presentación del Formulario 4 � Anterix Inc. (ATEX)

El director Leslie B. Daniels recibió 7,767 acciones restringidas el 05/08/2025 como compensación habitual para directores no empleados, a costo cero. La concesión se consolida por completo en la fecha que ocurra primero entre (i) el 05/08/2026 o (ii) la próxima junta anual de accionistas de la empresa, con aplazamiento automático si esa fecha coincide con un periodo de suspensión de negociación.

Tras la concesión, las participaciones de Daniels aumentan a 54,479 acciones de propiedad directa; además, controla 2,000 acciones a través de una IRA y 5,000 acciones a través de un 401(k). No se reportaron ventas ni transacciones con derivados.

La transacción es una retención estándar basada en acciones destinada a alinear los intereses del director con los de los accionistas y no tiene impacto inmediato en los fundamentos ni en la estructura de capital de Anterix.

Form 4 제출 � Anterix Inc. (ATEX)

ì´ì‚¬ Leslie B. DanielsëŠ� 2025ë…� 8ì›� 5ì¼ì— 비ì§ì›� ì´ì‚¬ ë³´ìƒìœ¼ë¡œ 7,767 제한 주ì‹ì� 무ìƒìœ¼ë¡œ 부여받았습니다. ì� ë³´ìƒì€ (i) 2026ë…� 8ì›� 5ì� ë˜ëŠ” (ii) 회사ì� ë‹¤ìŒ ì—°ë¡€ 주주ì´íšŒ ì¤� 빠른 ë‚ ì§œì—� ì „ì•¡ ì·¨ë“ë˜ë©°, 해당 날짜가 거래 ì •ì§€ 기간ì—� 해당하면 ìžë™ 연기ë©ë‹ˆë‹�.

ë¶€ì—� í›� Danielsì� 보유 주ì‹ì€ ì§ì ‘ 소유í•� 54,479ì£�ë¡� ì¦ê°€í•˜ë©°, IRAë¥� 통해 2,000ì£�, 401(k)ë¥� 통해 5,000ì£�ë¥� 추가ë¡� 보유하고 있습니다. 매ë„ë‚� 파ìƒìƒí’ˆ 거래ëŠ� ë³´ê³ ë˜ì§€ 않았습니ë‹�.

ì� 거래ëŠ� ì´ì‚¬ì™€ 주주ì� ì´ìµì� ì¼ì¹˜ì‹œí‚¤ê¸� 위한 표준 ì£¼ì‹ ê¸°ë°˜ 보수ì´ë©° Anterixì� 기본 재무 ìƒíƒœë‚� ìžë³¸ 구조ì—� 즉ê°ì ì¸ ì˜í–¥ì� 없습니다.

Dépôt du formulaire 4 � Anterix Inc. (ATEX)

Le directeur Leslie B. Daniels s’est vu attribuer 7 767 actions restreintes le 05/08/2025 en tant que rémunération habituelle pour un administrateur non salarié, à coût nul. L’attribution sera entièrement acquise à la première date entre (i) le 05/08/2026 ou (ii) la prochaine assemblée annuelle des actionnaires de la société, avec report automatique si cette date coïncide avec une période de blackout de négociation.

Après cette attribution, les avoirs de Daniels s’élèvent à 54 479 actions détenues directement ; il contrôle également 2 000 actions via un IRA et 5 000 actions via un 401(k). Aucune vente ni transaction sur dérivés n’a été signalée.

Cette opération constitue une rémunération standard basée sur des actions visant à aligner les intérêts de l’administrateur avec ceux des actionnaires et n’a aucun impact immédiat sur les fondamentaux ou la structure du capital d’Anterix.

Formular 4 Einreichung � Anterix Inc. (ATEX)

Direktor Leslie B. Daniels erhielt am 05.08.2025 7.767 eingeschränkte Aktien als routinemäßige Vergütung für nicht angestellte Direktoren zu keinen Kosten. Die Zuteilung wird vollständig fällig am jeweils früheren Zeitpunkt von (i) 05.08.2026 oder (ii) der nächsten jährlichen Hauptversammlung des Unternehmens, mit automatischer Verschiebung, falls dieses Datum in eine Handelsunterbrechung fällt.

Nach der Zuteilung erhöht sich Daniels� Anteil auf 54.479 direkt gehaltene Aktien; zudem kontrolliert er 2.000 Aktien über ein IRA und 5.000 Aktien über einen 401(k). Verkäufe oder Derivatgeschäfte wurden nicht gemeldet.

Die Transaktion stellt eine standardmäßige aktienbasierte Vergütung dar, die darauf abzielt, die Interessen von Direktor und Aktionären in Einklang zu bringen, und hat keinen unmittelbaren Einfluss auf die Fundamentaldaten oder Kapitalstruktur von Anterix.

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): August 7, 2025

 

 

 

Applied Optoelectronics, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware 001-36083 76-0533927

(State of incorporation)

(Commission File Number) (I.R.S. Employer Identification No.)

 

13139 Jess Pirtle Blvd.
Sugar Land
, Texas 77478

(Address of principal executive offices and zip code)

 

(281) 295-1800

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Trading Name of each exchange on which registered
Common Stock, Par value $0.001 AAOI NASDAQ Global Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

 

 

   

 

 

ITEM 2.02.RESULTS OF OPERATIONS AND FINANCIAL CONDITION.

 

On August 7, 2025 Applied Optoelectronics, Inc. (the “Company”) issued a press release regarding the Company’s financial results for the second quarter ended June 30, 2025. A copy of the Company’s press release is attached as Exhibit 99.1 to this Form 8-K.

 

The information furnished in this Current Report under this Item 2.02 and the exhibits attached hereto shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

 

ITEM 9.01. FINANCIAL STATEMENTS AND EXHIBITS.

 

(d) Exhibits

 

99.1Press release dated August 7, 2025, issued by Applied Optoelectronics, Inc., filed herewith.
104Cover Page Interactive Data File (embedded within the Inline XBRL document)

 

 

 

 2 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: August 7, 2025

Applied Optoelectronics, Inc.

 
       
       
  By: /s/ Stefan J. Murry  
  Name: Stefan J. Murry  
  Title: Chief Financial Officer  

 

 

 

 

 

 

 

 

 

 

 

 

 

 3 

 

FAQ

How many Anterix (ATEX) shares did director Leslie Daniels receive?

He was granted 7,767 restricted shares on 08/05/2025.

When will the restricted stock granted to Leslie Daniels vest?

The award vests on the earlier of 08/05/2026 or the company’s next annual shareholder meeting.

What is Leslie Daniels� total direct share ownership after the transaction?

After the grant he directly owns 54,479 ATEX shares.

Were any Anterix shares sold or disposed of in this Form 4 filing?

No. The filing reports an acquisition only; no shares were sold.

Does this Form 4 indicate any derivative securities activity?

No derivative securities were reported; the filing lists only restricted common stock.
Applied Optoelec

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Communication Equipment
Semiconductors & Related Devices
United States
SUGAR LAND