Applied Optoelectronics SVP sells 6,000 shares

The reported $120.03 weighted average reflects multiple executions priced from $120.00 to $120.10 per share.

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. Senior Vice President and Asia General Manager Shu-Hua (Joshua) Yeh sold 6,000 common shares on October 5, 2026, at a weighted average price of $120.03 per share. The sales were made under a Rule 10b5-1 trading plan adopted March 19, 2026. Yeh directly held 371,498 shares after the sale.

Insider Trade Summary 10b5-1

Net Seller: 6,000 shares

Net Sell 1 txn

Insider Yeh Shu-Hua (Joshua)

Role *** See Remarks

Sold 6,000 shs ($720K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value F1	6,000	$120.03	$720K

Holdings After Transaction: Common Stock, $.001 par value — 371,498 shares (Direct)

Footnotes (1)

1. F1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $120.00 to $120.10 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: 6,000 shares Weighted average sale price: $120.03 per share Actual sale price range: $120.00 to $120.10 per share +2 more

5 metrics

Shares sold 6,000 shares October 5, 2026

Weighted average sale price $120.03 per share October 5, 2026

Actual sale price range $120.00 to $120.10 per share Multiple transactions

Direct shares held after sale 371,498 shares Following the October 5, 2026 sale

Rule 10b5-1 plan adoption date March 19, 2026 Trading plan for the reported sales

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, par value

3 terms

Rule 10b5-1 trading plan regulatory

"sales were effected pursuant to a Rule 10b5-1 trading plan"

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.

weighted average sale price financial

"price reported reflects the weighted average sale price"

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.

How many shares did AAOI Senior Vice President Shu-Hua (Joshua) Yeh sell, and at what price?

Shu-Hua (Joshua) Yeh sold 6,000 shares on October 5, 2026, at a weighted average price of $120.03 per share. The transactions were made under a Rule 10b5-1 trading plan adopted March 19, 2026. Individual sale prices ranged from $120.00 to $120.10 per share.

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

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Available on EDGAR 10/07/2026 - 04:05 PM Accepted by SEC EDGAR 10/07/2026 - 04:05 PM Learn about SEC filing dates

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^*

Yeh Shu-Hua (Joshua)

(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)
10/05/2026

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	10/05/2026		S		6,000(1)	D	$120.03	371,498	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 19, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $120.00 to $120.10 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 Asia General Manager.

	/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh	10/07/2026
	** 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)