Applied Optoelectronics officer sells 28,826 shares

APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported an open-market sale of 28,826 shares of common stock on June 12, 2026 at a weighted average price of $166.53 per share.

Accepted by SEC EDGAR 06/16/2026 - 04:52 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported an open-market sale of 28,826 shares of common stock on June 12, 2026 at a weighted average price of $166.53 per share. In a separate transaction, 23,397 shares were withheld to satisfy tax obligations. Following these transactions, he holds 400,207 shares directly.

Insider Trade Summary

Net Seller: 28,826 shares

Net Sell 2 txns

Insider Yeh Shu-Hua (Joshua)

Role *** See Remarks

Sold 28,826 shs ($4.80M)

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock, $.001 par value	23,397	$172.78	$4.04M
Sale	Common Stock, $.001 par value	28,826	$166.53	$4.80M

Holdings After Transaction: Common Stock, $.001 par value — 400,207 shares (Direct)

Footnotes (2)

1. F1. Consists of shares withheld to satisfy applicable tax withholding obligations.
2. F2. 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.

Key Figures

Shares sold: 28,826 shares Sale price (weighted average): $166.53/share Sale price range: $163.78–$171.80/share +2 more

5 metrics

Shares sold 28,826 shares Open-market sale on June 12, 2026

Sale price (weighted average) $166.53/share Open-market sale on June 12, 2026

Sale price range $163.78–$171.80/share Multiple transactions on June 12, 2026

Shares withheld for taxes 23,397 shares Tax-withholding disposition on June 12, 2026

Shares owned after transactions 429,033 shares Direct ownership following June 12, 2026 activity

Key Terms

open-market sale, tax-withholding disposition, weighted average sale price, Form 4

4 terms

open-market sale financial

"transaction_action: "open-market sale" for 28,826 shares of common stock"

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" for 23,397 shares"

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 for the transactions."

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

FAQ

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

What insider transaction did AAOI officer Yeh Shu-Hua report?

AAOI officer Yeh Shu-Hua reported an open-market sale of 28,826 shares of common stock. The sale occurred on June 12, 2026, and was disclosed in a Form 4 insider trading report filed with the U.S. Securities and Exchange Commission.

At what price did the AAOI insider sell 28,826 shares?

The AAOI insider’s 28,826-share sale used a weighted average price of $166.53 per share. Individual trades were executed in multiple transactions at prices ranging from $163.78 to $171.80 during June 12, 2026, according to the detailed Form 4 disclosure.

Were any AAOI shares disposed of for tax withholding purposes?

Yes. A separate disposition of 23,397 AAOI shares was reported to cover applicable tax withholding obligations. This tax-withholding transaction, coded “F” on Form 4, is not an open-market sale but a mechanism to satisfy tax liabilities tied to equity compensation.

How many AAOI shares does the reporting person hold after the transactions?

After the June 12, 2026 transactions, the reporting person directly holds 429,033 AAOI common shares. This figure reflects the position after both the open-market sale and the tax-withholding share disposition, as stated in the Form 4 ownership table.

Does the AAOI Form 4 mention multiple trade prices for the sale?

Yes. The filing states that the AAOI shares were sold in multiple transactions, with prices between $163.78 and $171.80 per share. The reported $166.53 represents the weighted average sale price across all those individual trades on June 12, 2026.

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^*

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)
06/12/2026

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	06/12/2026		F		23,397(1)	D	$172.78	429,033	D
Common Stock, $.001 par value	06/12/2026		S		28,826(2)	D	$166.53	400,207	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. 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 Asia General Manager.

	/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh	06/16/2026
	** 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)