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Applied Optoelectronics (NASDAQ: AAOI) officer sells 34K shares, withholds 27K for taxes

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) reported insider transactions in common stock. On June 12, 2026, he executed an open-market sale of 34,000 shares at a weighted average price of $166.53 per share. The filing also shows a separate tax-withholding disposition of 27,297 shares at $172.78 per share to satisfy tax obligations, which is not an open-market sale. Following these transactions, he directly holds 326,453 shares of the company’s common stock.

Positive

  • None.

Negative

  • None.
Insider Chang Hung-Lun (Fred)
Role *** See Remarks
Sold 34,000 shs ($5.66M)
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 27,297 $172.78 $4.72M
Sale Common Stock, $.001 par value 34,000 $166.53 $5.66M
Holdings After Transaction: Common Stock, $.001 par value — 360,453 shares (Direct, null)
Footnotes (1)
  1. Consists of shares withheld to satisfy applicable tax withholding obligations. The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 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.
Open-market shares sold 34,000 shares Common stock sale on June 12, 2026
Weighted average sale price $166.53 per share Open-market sale of 34,000 shares
Shares withheld for taxes 27,297 shares Tax-withholding disposition on June 12, 2026
Tax-withholding price $172.78 per share Shares withheld to satisfy tax obligations
Shares owned after transactions 326,453 shares Direct ownership following reported transactions
Sale price range $163.78–$171.8 per share Multiple transactions on June 12, 2026
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.
tax-withholding disposition financial
"transaction_action: "tax-withholding disposition""
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
weighted average sale price financial
"The price reported reflects the weighted average sale price"
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 4UNITED 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
*** See Remarks
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/12/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock, $.001 par value06/12/2026F27,297(1)D$172.78360,453D
Common Stock, $.001 par value06/12/2026S34,000(2)D$166.53326,453D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Consists of shares withheld to satisfy applicable tax withholding obligations.
2. The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 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) Chang06/16/2026
** Signature of Reporting PersonDate
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 insider transactions did AAOI officer Chang Hung-Lun report?

He reported an open-market sale of 34,000 Applied Optoelectronics shares and a separate 27,297-share tax-withholding disposition. Both transactions involved common stock on June 12, 2026, at weighted average prices above $160 per share.

How many AAOI shares did Chang Hung-Lun sell on June 12, 2026?

He sold 34,000 shares of Applied Optoelectronics common stock in an open-market transaction. The weighted average sale price was $166.53 per share across multiple trades executed that day within a disclosed price range.

What was the purpose of the 27,297 AAOI shares disposed of by Chang Hung-Lun?

The 27,297 shares were withheld to satisfy applicable tax withholding obligations. This tax-withholding disposition is classified separately from the open-market sale and does not represent a discretionary sale into the market by the officer.

What price range did AAOI shares sell for in Chang Hung-Lun’s transactions?

The filing states that shares were sold in multiple transactions at prices ranging from $163.78 to $171.8 per share. The Form 4 reports a weighted average sale price of $166.53 per share for the 34,000-share open-market sale.

How many AAOI shares does Chang Hung-Lun hold after these transactions?

After the reported transactions, Chang Hung-Lun directly owns 326,453 shares of Applied Optoelectronics common stock. This figure reflects his remaining direct holdings as shown in the most recent line of the Form 4.

Are Chang Hung-Lun’s AAOI tax-withholding shares considered an open-market sale?

No. The 27,297 shares classified under transaction code F were withheld to cover tax obligations. This mechanism transfers shares for taxes and is not treated as an open-market sale or discretionary selling activity.