Applied Optoelectronics SVP sells 32,172 shares

AAOI’s North America GM reported an open-market sale of 32,172 shares, retaining 249,276 shares afterward.

Available on EDGAR 09/10/2026 - 04:28 PM EDT Accepted by SEC EDGAR 09/10/2026 - 04:27 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. (AAOI) reported that senior vice president and North America general manager Chang Hung-Lun (Fred) sold 32,172 shares of common stock on September 8, 2026 in an open-market or private transaction at a weighted average price of $110.21 per share, with actual prices ranging from $110.00 to $110.76. After this sale, he directly holds 249,276 shares of AAOI common stock, and no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Net Seller: 32,172 shares

Net Sell 1 txn

Insider Chang Hung-Lun (Fred)

Role *** See Remarks

Sold 32,172 shs ($3.55M)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value F1	32,172	$110.21	$3.55M

Holdings After Transaction: Common Stock, $.001 par value — 249,276 shares (Direct)

Footnotes (1)

1. F1. The shares were sold in multiple transactions on September 8, 2026 at actual sale prices ranging from $110.00 to $110.76 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.

Key Figures

Shares sold: 32,172 shares Weighted average sale price: $110.21 per share Sale price range: $110.00–$110.76 per share +2 more

5 metrics

Shares sold 32,172 shares Common stock sale reported for September 8, 2026

Weighted average sale price $110.21 per share Weighted average price for the September 8, 2026 sale transactions

Sale price range $110.00–$110.76 per share Range of actual sale prices on September 8, 2026

Shares held after transaction 249,276 shares Directly owned common shares following the reported sale

Net shares sold 32,172 shares Net sell volume across all reported transactions in this Form 4

Key Terms

weighted average sale price, open market or private transaction, par value

3 terms

weighted average sale price financial

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

open market or private transaction financial

"Sale in open market or private transaction"

par value financial

"Common Stock, $.001 par value"

Par value is the fixed amount printed on a bond or stock that represents its original value when issued. It’s like the face value of a coin or bill—what the issuer promises to pay back or the starting price of a stock—though it often doesn’t change with market prices. It matters because it helps determine certain financial details, like how much the company will pay back at maturity.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did AAOI report for Chang Hung-Lun (Fred)?

AAOI reported that senior vice president and North America general manager Chang Hung-Lun (Fred) sold 32,172 shares of common stock on September 8, 2026 in an open-market or private transaction.

At what price were the AAOI shares sold in this Form 4 filing?

The reported weighted average sale price was $110.21 per share, with individual sale prices ranging from $110.00 to $110.76 per share, according to the transaction footnote.

How many AAOI shares does Chang Hung-Lun (Fred) hold after this sale?

Following the reported sale, Chang Hung-Lun (Fred) directly holds 249,276 shares of AAOI common stock, as stated in the filing.

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

No. The filing indicates no Rule 10b5-1 trading plan is affirmed for this transaction, and the only footnote describes the price range and weighted average, not any trading plan.

What type of security was involved in the AAOI Form 4 transaction?

The transaction involved Common Stock, $.001 par value of APPLIED OPTOELECTRONICS, INC., as specified in the Form 4 details.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

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)
09/08/2026

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	09/08/2026		S		32,172(1)	D	$110.21	249,276	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. The shares were sold in multiple transactions on September 8, 2026 at actual sale prices ranging from $110.00 to $110.76 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	09/10/2026
	** 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.
* Form 4: SEC 1474 (03-26)