Vanguard's new 5%+ passive stake adds a large institutional holder to AAOI's base, but as a passive filing it signals no activist intent. Monitor future 13G amendments for stake changes and any 13D conversion if Vanguard's purpose shifts.
Price Chart
Executive Summary
Vanguard Capital Management LLC disclosed a 5.09% passive stake in Applied Optoelectronics, Inc. via a new Schedule 13G filing, reporting beneficial ownership of 4,305,787 shares of common stock as of September 30, 2026. This is a new 13G filing by Vanguard Capital Management, indicating a passive investment position with no intent to influence management.
Key Financial Metrics
Key Facts
- Vanguard Capital Management LLC filed a new Schedule 13G disclosing a 5.09% stake in Applied Optoelectronics, Inc.
- Beneficial ownership: 4,305,787 shares of common stock as of September 30, 2026.
- The filing certifies passive intent under Rule 13d-1(b) with no purpose of changing or influencing control.
- Vanguard Capital Management is an investment adviser (IA) and the filing includes shares held by affiliated entities (Vanguard Asset Management Limited, Vanguard Fiduciary Trust Company, Vanguard Global Advisers, LLC, Vanguard Investments Australia Ltd.).
- Market cap of AAOI is $7.0B; the stake value is approximately $357M based on market cap and share count.
Financial Impact
5.09% stake valued at approximately $357M based on $7.0B market cap
Risk Factors
- Passive 13G filing; no indication of activist intent or management engagement.
- Stake is just above the 5% threshold; could be reduced without public disclosure until below 5%.
Market Snapshot
Investment Themes
Documents Analyzed
This report is based on 3 SEC documents filed with EDGAR.
| Document | Accession Number |
|---|---|
| SC 13G Filing (Primary) | 0002100119-26-001557 |
| Document: 0002100119-26-001557-index.html | 0002100119-26-001557 |
| Document: 0002100119-26-001557.txt | 0002100119-26-001557 |
Filters
| Type | Now | ||||
|---|---|---|---|---|---|
Oct 30, 2026 2d ago | SC 13G | $69.15 | awaiting T+20 | awaiting T+20 | $69.05 (−0.15%) |
Oct 21, 2026 11d ago | Institutional Cluster | $68.07 | awaiting T+20 | awaiting T+20 | $69.05 (+1.44%) |
Oct 15, 2026 17d ago | Press Release | $75.57 | awaiting T+20 | awaiting T+20 | $69.05 (−8.63%) |
Sep 10, 2026 7w ago | Insider Cluster | $105.36 $109.64 | ▲ +4.06% | ▲ +2.19% | $69.05 (−34.46%) |
Sep 10, 2026 7w ago | Insider Cluster | $105.36 $109.64 | ▼ −4.06% | ▼ −1.94% | $69.05 (+34.46%) |
Aug 12, 2026 11w ago | Insider Cluster | $130.08 $105.36 | ▼ −19.00% | ▼ −17.26% | $69.05 (−46.92%) |
Aug 1, 2026 13w ago | Institutional Cluster | $110.21 $107.69 | ▼ −2.29% | ▼ −3.52% | $69.05 (−37.35%) |
Jun 16, 2026 19w ago | 8-K | $167.34 $100.24 | ▼ −40.10% | ▼ −41.42% | $69.05 (−58.74%) |
Jun 16, 2026 19w ago | Insider Cluster | $167.34 $100.24 | ▼ −40.10% | ▼ −41.42% | $69.05 (−58.74%) |
Jun 8, 2026 20w ago | Insider Cluster | $162.88 $114.41 | ▲ +29.76% | ▲ +31.20% | $69.05 (+57.61%) |
US Market Status
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