Applied Optoelectronics (NASDAQ: AAOI) insider sells 40,329 shares in planned trade

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) sold 40,329 shares of common stock in open-market transactions on June 17, 2026 at a weighted average price of $170.60 per share. The sales were made under a pre-arranged Rule 10b5-1 trading plan adopted on March 18, 2026.

The shares were sold in multiple trades at actual prices ranging from $168.00 to $173.78 per share. Following these transactions, Chang directly holds 286,124 shares of APPLIED OPTOELECTRONICS common stock.

Insider Trade Summary 10b5-1

Net Seller: 40,329 shares ($6,880,127)

Net Sell 1 txn

Insider Chang Hung-Lun (Fred)

Role *** See Remarks

Sold 40,329 shs ($6.88M)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	40,329	$170.60	$6.88M

Holdings After Transaction: Common Stock, $.001 par value — 286,124 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares sold: 40,329 shares Weighted average sale price: $170.60 per share Post-transaction holdings: 286,124 shares +4 more

7 metrics

Shares sold 40,329 shares Open-market sale on June 17, 2026

Weighted average sale price $170.60 per share Average price for 40,329 shares sold

Post-transaction holdings 286,124 shares Shares directly owned after June 17, 2026 sale

Low sale price range $168.00 per share Lowest actual sale price on June 17, 2026

High sale price range $173.78 per share Highest actual sale price on June 17, 2026

Sell transaction count 1 transaction Form 4 transaction summary sellCount

Shares sold (summary) 40,329 shares Form 4 transactionSummary sellShares

Key Terms

Rule 10b5-1 trading plan, open-market sale, weighted average sale price, Common Stock, $.001 par value

4 terms

Rule 10b5-1 trading plan regulatory

"These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

weighted average sale price financial

"The price reported reflects the weighted average sale price for the transactions."

Common Stock, $.001 par value financial

"security_title": "Common Stock, $.001 par value""

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Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Chang Hung-Lun (Fred)

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TEXAS 77478

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/17/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $.001 par value	06/17/2026		S		40,329(1)	D	$170.6	286,124	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 18, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $168.00 to $173.78 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.

Remarks:

*** Senior Vice President and North America General Manager

	/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang	06/18/2026
	** 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 4 (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 4: SEC 1474 (03-26)

FAQ

What insider transaction did AAOI officer Chang Hung-Lun report?

AAOI officer Chang Hung-Lun reported selling 40,329 shares of common stock in open-market transactions. The sales occurred on June 17, 2026 at a weighted average price of $170.60 per share, according to the Form 4 insider trading report.

At what prices did the AAOI insider sell shares on June 17, 2026?

The AAOI insider’s shares were sold in multiple trades between $168.00 and $173.78 per share. The Form 4 reports a weighted average sale price of $170.60 for the 40,329 common shares sold that day.

How many APPLIED OPTOELECTRONICS (AAOI) shares does the insider hold after the sale?

After selling 40,329 shares, the AAOI insider directly holds 286,124 shares of common stock. This post-transaction ownership figure is disclosed in the Form 4 as the total shares beneficially owned following the reported sales.

Was the AAOI insider sale made under a Rule 10b5-1 trading plan?

Yes. The Form 4 footnote states the sales were effected under a Rule 10b5-1 trading plan. The reporting person adopted this pre-arranged trading plan on March 18, 2026, and the June 17, 2026 transactions were executed pursuant to it.

What type of security did the AAOI insider sell in this Form 4 filing?

The AAOI insider sold Common Stock with a par value of $0.001 per share. The Form 4 identifies the security as “Common Stock, $.001 par value” and reports 40,329 shares sold in open-market transactions on June 17, 2026.