Applied Optoelectronics (NASDAQ: AAOI) officer surrenders shares for tax

Rhea-AI Filing Summary

Applied Optoelectronics officer reports tax-related share surrenders. On January 22, 2026, Senior Vice President and Asia General Manager Shu-Hua (Joshua) Yeh had multiple Form 4 transactions coded "F" in common stock at $38.38 per share. Footnotes state the transactions reflect shares surrendered back to the company to cover tax-withholding obligations when previously granted restricted stock units vested. After these tax withholdings, Yeh directly beneficially owns 346,252 shares of Applied Optoelectronics common stock.

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 TX 77478

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
01/22/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	01/22/2026		F		1,899(1)	D	$38.38	350,276	D
Common Stock, $.001 par value	01/22/2026		F		2,553(2)	D	$38.38	347,723	D
Common Stock, $.001 par value	01/22/2026		F		609(3)	D	$38.38	347,114	D
Common Stock, $.001 par value	01/22/2026		F		862(4)	D	$38.38	346,252	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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.

2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.

3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.

4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.

Remarks:

Senior Vice President and Asia General Manager.

	/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh	01/26/2026
	** 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.

FAQ

What insider transaction did AAOI executive Shu-Hua (Joshua) Yeh report?

Shu-Hua (Joshua) Yeh reported several transactions on January 22, 2026 in Applied Optoelectronics common stock, all coded "F" and priced at $38.38 per share.

Does the AAOI Form 4 show an open-market sale by the insider?

No. Footnotes explain the transactions reflect shares surrendered to the issuer to satisfy tax-withholding obligations when restricted stock unit awards vested, rather than discretionary open-market sales.

How many AAOI shares does Joshua Yeh hold after these transactions?

Following the reported tax-withholding surrenders, Joshua Yeh directly beneficially owns 346,252 shares of Applied Optoelectronics common stock.

What does transaction code "F" mean in this AAOI Form 4?

In this context, the "F" code indicates shares withheld or surrendered to the issuer to cover tax obligations upon the vesting of restricted stock units.

What awards triggered the tax-withholding share surrenders for AAOI?

The footnotes state the share surrenders relate to restricted stock unit awards originally granted on June 27, 2022, June 26, 2023, April 29, 2024, and April 11, 2025.

What is Joshua Yeh’s role at Applied Optoelectronics (AAOI)?

The remarks identify Joshua Yeh as Senior Vice President and Asia General Manager of Applied Optoelectronics.