APPLIED OPTOELECTRONICS (AAOI) director sells 11,335 shares, retains large stake

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. director Min-Chu (Mike) Chen reported open-market sales of 11,335 AAOI shares. He sold 8,835 directly owned common shares at a weighted average price of $108.7172 per share, with actual sale prices ranging from $105.50 to $110.20. Following this sale, he directly owns 169,300 common shares.

In a separate transaction, 2,500 indirectly owned shares held by his spouse, Yuh-Mei Chung, were sold at $97.00 per share, leaving 20,000 shares in that indirect holding. Chen disclaims beneficial ownership of shares held by his spouse except for any indirect pecuniary interest.

Insights

Equity ownership & insider-transactions analyst

Director’s net sale of 11,335 AAOI shares appears routine in scale.

Director Min-Chu (Mike) Chen reported two open-market sales totaling 11,335 common shares of APPLIED OPTOELECTRONICS, INC. He sold 8,835 directly held shares around $108.72 and 2,500 indirectly held shares via his spouse at $97.00.

After these trades, Chen still directly holds 169,300 shares, while his spouse holds 20,000 shares. The Form 4 notes that he disclaims beneficial ownership of the spouse’s shares except for any indirect pecuniary interest, which means those indirect holdings should be viewed separately from his primary stake.

There are no derivative positions reported, so this filing reflects straightforward stock sales rather than an option exercise or complex restructuring. The size of the sale relative to the remaining holdings suggests a portfolio adjustment rather than a transformational change in his economic exposure.

Insider Trade Summary

Net Seller: 11,335 shares ($1,203,016)

Net Sell 2 txns

Insider Chen Min-Chu (Mike)

Role Director

Sold 11,335 shs ($1.20M)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	8,835	$108.7172	$961K
Sale	Common Stock, $.001 par value	2,500	$97.00	$243K

Holdings After Transaction: Common Stock, $.001 par value — 169,300 shares (Direct); Common Stock, $.001 par value — 20,000 shares (Indirect, By Spouse)

Footnotes (1)

1. Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein The shares were sold in multiple transactions at actual sale prices ranging from $105.50 to $110.20 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

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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).

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^*

Chen Min-Chu (Mike)

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TX 77478

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
03/06/2026

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

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 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	03/06/2026		S		2,500	D	$97	20,000(1)	I	By Spouse
Common Stock, $.001 par value	03/09/2026		S		8,835(2)	D	$108.7172	169,300	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. Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein

2. The shares were sold in multiple transactions at actual sale prices ranging from $105.50 to $110.20 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

	/s/ David C. Kuo, attorney in fact for Min-Chu (Mike) Chen	03/10/2026
	** 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.

FAQ

What insider transactions did AAOI director Min-Chu (Mike) Chen report?

He reported selling a total of 11,335 APPLIED OPTOELECTRONICS (AAOI) common shares. This included 8,835 directly held shares at a weighted average price of $108.7172 and 2,500 indirectly held shares, owned by his spouse, at $97.00 per share.

At what prices did Min-Chu (Mike) Chen sell his AAOI shares?

Chen’s directly owned AAOI shares were sold at a weighted average price of $108.7172, with actual trade prices ranging from $105.50 to $110.20. The 2,500 indirectly owned shares held by his spouse were sold in a separate transaction at $97.00 per share.

How many AAOI shares does Min-Chu (Mike) Chen hold after these sales?

After the reported sales, Chen directly owns 169,300 APPLIED OPTOELECTRONICS shares. Indirectly, his spouse holds 20,000 shares. The filing states he disclaims beneficial ownership of the spouse’s shares, except for any indirect pecuniary interest he may have in them.

Are the AAOI shares sold by Min-Chu (Mike) Chen’s spouse attributed to him?

The 2,500 AAOI shares were sold from an account held by his spouse, Yuh-Mei Chung. The Form 4 notes Chen disclaims beneficial ownership of securities deemed owned by his spouse, except for any indirect pecuniary interest, so those indirect holdings are treated separately from his direct stake.

Did the AAOI Form 4 include any option exercises or derivative transactions?

No, the Form 4 for APPLIED OPTOELECTRONICS shows only sales of common stock. There are no derivative transactions, option exercises, or conversions reported, indicating these were straightforward open-market sales of existing share positions rather than option-related activity.