AAOI director granted 1,166 RSUs

Flanagan Robert James reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Flanagan Robert James reported acquisition or exercise transactions in this Form 4 filing.

APPLIED OPTOELECTRONICS, INC. director Robert James Flanagan reported an equity award of 1,166 shares of common stock at a price of $0.00 per share. The footnote states the award is in the form of RSUs under the 2026 Equity Incentive Plan, vesting in 12 equal monthly installments starting on July 5, 2026.

Insights

Equity compensation analyst

Director received a routine RSU grant vesting monthly over one year.

Director Robert James Flanagan was granted 1,166 RSUs of APPLIED OPTOELECTRONICS, INC. common stock at $0.00 per share. Code A and the footnote indicate a compensation-related grant rather than an open-market purchase.

The grant vests in 12 equal monthly installments beginning on July 5, 2026 under the 2026 Equity Incentive Plan. After this award, Flanagan holds 1,166 shares directly. This is a standard director equity award with no same-day sale and limited signaling value beyond routine board compensation.

Insider Trade Summary

Grant/Award: 1,166 shares

Grant/Award 1 txn

Insider Flanagan Robert James

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, $.001 par value	1,166	$0.00	$0.00

Holdings After Transaction: Common Stock, $.001 par value — 1,166 shares (Direct)

Footnotes (1)

1. F1. These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026, until all shares have vested.

Key Figures

RSUs granted: 1,166 shares Grant price: $0.00 per share Shares owned after grant: 1,166 shares +2 more

5 metrics

RSUs granted 1,166 shares Equity award on June 9, 2026

Grant price $0.00 per share Compensation grant, not market purchase

Shares owned after grant 1,166 shares Total common stock beneficially owned following transaction

Vesting installments 12 monthly tranches 1/12th vests monthly starting July 5, 2026

Vesting start date July 5, 2026 First vesting date for RSU grant

Key Terms

Restricted Stock Units (RSUs), 2026 Equity Incentive Plan, vests as to 1/12th, beneficially owned following transaction

4 terms

Restricted Stock Units (RSUs) financial

"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."

Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.

2026 Equity Incentive Plan financial

"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."

vests as to 1/12th financial

"The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026"

beneficially owned following transaction financial

"total_shares_following_transaction: "1166.0000""

FAQ

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

What did AAOI director Robert James Flanagan report on this Form 4?

Director Robert James Flanagan reported receiving 1,166 shares of APPLIED OPTOELECTRONICS common stock. The award is a stock-based compensation grant, not an open-market purchase, and is recorded at a price of $0.00 per share under the company’s 2026 Equity Incentive Plan.

Is the AAOI Form 4 transaction a stock purchase or a compensation grant?

The Form 4 for AAOI shows a compensation grant, not a market purchase. Transaction code A and the footnote confirm these 1,166 shares are Restricted Stock Units granted under the 2026 Equity Incentive Plan, reflecting routine director equity compensation rather than insider buying in the open market.

How do the 1,166 AAOI RSUs granted to Flanagan vest over time?

The 1,166 AAOI RSUs vest in 12 equal monthly installments. Vesting starts on July 5, 2026 and continues on the same day each month until all shares have vested, creating a one-year, time-based vesting schedule tied to ongoing service.

What is Flanagan’s reported AAOI share ownership after this Form 4 transaction?

After the reported grant, Flanagan’s direct ownership is 1,166 shares of AAOI common stock. The filing lists this as the total shares beneficially owned following the transaction, all held directly, with no derivative positions reported in this specific Form 4.

What plan governs the AAOI RSU grant reported for director Flanagan?

The RSU grant is made under APPLIED OPTOELECTRONICS’ 2026 Equity Incentive Plan. The footnote explains that the 1,166 shares are granted as Restricted Stock Units subject to monthly vesting, aligning director compensation with the company’s long-term equity incentive framework.

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

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Accepted by SEC EDGAR 06/11/2026 - 05:26 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).

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^*

Flanagan Robert James

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS

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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/09/2026

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	06/09/2026		A		1,166(1)	A	$0.00	1,166	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 shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026, until all shares have vested.

	/s/ David C. Kuo, attorney in fact for Robert James Flanagan	06/11/2026
	** 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)