Director Flanagan files Form 3 at Applied Optoelectronics (NASDAQ: AAOI)

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. filed an initial ownership report for director Robert James Flanagan on Form 3. The filing identifies him as a director of the company and does not list any transactions or derivative positions in the company’s securities.

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Available on EDGAR 06/11/2026 - 04:27 PM Accepted by SEC EDGAR 06/11/2026 - 04:26 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Flanagan Robert James

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TEXAS 77478

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
06/04/2026

3. Issuer Name and Ticker or Trading Symbol
APPLIED OPTOELECTRONICS, INC. [ AAOI ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit List - Exhibit 24-Power of Attorney

No securities are beneficially owned.

	/s/ David C. Kuo, attorney in fact for Robert James Flanagan	06/11/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

FAQ

What does the AAOI Form 3 filing for Robert James Flanagan show?

The Form 3 filing identifies Robert James Flanagan as a director of Applied Optoelectronics. It functions as his initial ownership report and does not list any transactions or derivative positions in the company’s securities at the time of filing.

Does the AAOI Form 3 for Robert James Flanagan report any stock transactions?

No, the Form 3 for Robert James Flanagan reports no stock transactions. The transaction summary shows zero buys, zero sells, zero exercises, and no gifts or restructurings, indicating no trading activity is being disclosed in this initial statement.

What role does Robert James Flanagan have at Applied Optoelectronics (AAOI)?

Robert James Flanagan is reported as a director of Applied Optoelectronics. The Form 3 indicates he is not listed as an officer and not identified as a ten percent owner, clarifying his position as a board-level insider rather than a controlling shareholder.

Does the AAOI Form 3 disclose any derivative securities for Robert James Flanagan?

No, the Form 3 shows no derivative securities for Robert James Flanagan. The derivative summary is empty and the filing reports zero derivative transactions, meaning no options, warrants, or similar instruments are disclosed for him in this statement.

What is the net buy or sell direction in the AAOI Form 3 for Flanagan?

The Form 3 indicates a neutral net direction for Robert James Flanagan. Transaction summary fields show zero buys, zero sells, and a net buy-sell direction marked as neutral, reflecting the absence of any reported trading activity in this filing.