APPLIED OPTOELECTRONICS (AAOI) director granted 1,166 RSUs under 2026 equity plan

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. director William H. Yeh reported an acquisition of company stock through an equity award. He received 1,166 shares of common stock at no cash cost, granted in the form of Restricted Stock Units under the Company’s 2026 Equity Incentive Plan.

The RSU grant vests in equal monthly installments, with 1/12 of the total shares vesting on the same day each month starting on July 5, 2026, until all shares have vested. After this grant, Yeh’s direct holdings increased to 239,985 shares of common stock, reflecting a routine, compensation-related award rather than an open-market purchase or sale.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Yeh William H

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, $.001 par value	1,166	$0.00	--

Holdings After Transaction: Common Stock, $.001 par value — 239,985 shares (Direct, null)

Footnotes (1)

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Key Figures

RSU grant size: 1,166 shares Grant price per share: $0.00 per share Shares after transaction: 239,985 shares +2 more

5 metrics

RSU grant size 1,166 shares Restricted Stock Units awarded to director

Grant price per share $0.00 per share Equity award, no cash paid

Shares after transaction 239,985 shares Total common stock held directly post-award

Vesting start date July 5, 2026 First monthly vesting of RSU grant

Vesting pattern 1/12 monthly Equal monthly vesting over 12 months

Key Terms

Restricted Stock Units (RSUs), 2026 Equity Incentive Plan, vesting

3 terms

Restricted Stock Units (RSUs) financial

"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."

Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.

2026 Equity Incentive Plan financial

"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."

vesting financial

"The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026, until all shares have vested."

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

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Form 4 Insider Transactions: What Each Field Means →

06/11/2026 - 05:27 PM

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^*

Yeh William H

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/09/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $.001 par value	06/09/2026		A		1,166⁽¹⁾	A	$0.00	239,985	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026, until all shares have vested.

	/s/ David C. Kuo, attorney in fact for William H. Yeh	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 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)

Source: View Original Filing on SEC EDGAR

FAQ

What did AAOI director William H. Yeh report in this Form 4?

William H. Yeh reported receiving an award of 1,166 shares of APPLIED OPTOELECTRONICS common stock as Restricted Stock Units. The award is compensation-related under the company’s 2026 Equity Incentive Plan and does not represent an open-market stock purchase or sale.

How many AAOI shares did William H. Yeh acquire through this grant?

He acquired 1,166 shares of APPLIED OPTOELECTRONICS common stock via a Restricted Stock Unit grant. These shares were awarded at no cash cost as part of his director compensation, rather than being bought on the open market at a specific share price.

What is the vesting schedule for William H. Yeh’s new AAOI RSUs?

The RSUs vest in 12 equal monthly installments starting July 5, 2026, with 1/12 of the total shares vesting each month. This gradual vesting structure is typical for equity incentives, encouraging ongoing board service and alignment with long-term shareholder interests.

How many APPLIED OPTOELECTRONICS shares does William H. Yeh hold after this transaction?

After the RSU award, William H. Yeh beneficially holds 239,985 shares of APPLIED OPTOELECTRONICS common stock directly. This updated total includes the newly granted 1,166-share award, reflecting his continuing equity stake as a member of the company’s board of directors.

Was William H. Yeh’s AAOI transaction an open-market buy or sell?

No, the transaction was not an open-market buy or sell. It was coded as a grant or award, meaning Yeh received 1,166 Restricted Stock Units as compensation. The shares were awarded at a stated price of $0.00 per share, typical for equity incentive grants.

Under which plan were William H. Yeh’s new AAOI RSUs granted?

The RSUs were granted under APPLIED OPTOELECTRONICS’ 2026 Equity Incentive Plan. This plan authorizes equity-based compensation such as Restricted Stock Units for directors, executives, and employees, aligning their interests with shareholders through long-term stock-based awards that vest over time.