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  4. [Form 4] APPLIED OPTOELECTRONICS, INC. Insider Trading Activity

AAOI (NASDAQ: AAOI) officer sells 39,154 shares after large stock grant

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

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported a mix of equity compensation and share dispositions. On May 15, 2026, he acquired 192,170 shares of common stock as a grant, described as settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned at maximum performance.

On May 19, 2026, 7,928 shares were withheld to satisfy applicable tax withholding obligations, and he completed an open-market sale of 39,154 shares at $173.26 per share. Following these transactions, he directly owned 462,430 shares of common stock.

Positive

  • None.

Negative

  • None.

Insights

Routine compensation grant with partial sale and tax withholding, net effect neutral.

The filing shows a large equity award of 192,170 shares tied to performance vesting restricted stock units for the 2023-2026 period, earned at maximum performance. This is compensation-related, not a market purchase, and materially increases the officer’s equity stake before dispositions.

Subsequently, 7,928 shares were withheld for tax obligations and 39,154 shares were sold in an open-market transaction at $173.26 per share. After these moves, the officer still held 462,430 shares directly, indicating a substantial remaining position. The combination of a performance-based award, tax withholding, and a partial sale is consistent with routine compensation and liquidity management, so the overall market signal is muted.

Insider Yeh Shu-Hua (Joshua)
Role *** See Remarks
Sold 39,154 shs ($6.78M)
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 7,928 $190.36 $1.51M
Sale Common Stock, $.001 par value 39,154 $173.26 $6.78M
Grant/Award Common Stock, $.001 par value 192,170 $0.00 --
Holdings After Transaction: Common Stock, $.001 par value — 501,584 shares (Direct, null)
Footnotes (1)
  1. Consists of shares earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned and settled with respect to maximum performance. Consists of shares withheld to satisfy applicable tax withholding obligations.
Performance-based stock grant 192,170 shares Grant/award acquisition on May 15, 2026
Open-market sale 39,154 shares Sale at $173.26 per share on May 19, 2026
Tax withholding shares 7,928 shares Withheld to satisfy tax obligations on May 19, 2026
Post-transaction holdings 462,430 shares Direct ownership after reported transactions
Sale price $173.26 per share Price for 39,154 shares sold on May 19, 2026
performance vesting restricted stock units financial
"Consists of shares earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period"
tax withholding obligations financial
"Consists of shares withheld to satisfy applicable tax withholding obligations"
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.
grant, award, or other acquisition financial
"transaction_code_description: Grant, award, or other acquisition"
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*
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)
Director10% Owner
XOfficer (give title below)Other (specify below)
*** See Remarks
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/15/2026		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 value05/15/2026A192,170(1)A$0.00509,512D
Common Stock, $.001 par value05/19/2026F7,928(2)D$190.36501,584D
Common Stock, $.001 par value05/19/2026S39,154D$173.26462,430D
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 earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned and settled with respect to maximum performance.
2. Consists of shares withheld to satisfy applicable tax withholding obligations.
Remarks:
*** Senior Vice President and Asia General Manager.
/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh05/19/2026
** 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 Yeh Shu-Hua report for APPLIED OPTOELECTRONICS (AAOI)?

Yeh Shu-Hua reported a performance-based stock grant, tax withholding, and an open-market sale. He received 192,170 shares from vesting RSUs, had 7,928 shares withheld for taxes, and sold 39,154 shares, while remaining directly invested in the company afterward.

How many APPLIED OPTOELECTRONICS (AAOI) shares did the officer sell and at what price?

The officer sold 39,154 shares of APPLIED OPTOELECTRONICS common stock. These were open-market sales executed at a reported price of $173.26 per share, representing a partial disposition of his holdings rather than a full exit from his equity position.

What is the size and nature of the stock award Yeh Shu-Hua received from AAOI?

He received a grant of 192,170 shares of common stock. The filing states these shares were earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period, achieved at maximum performance, making this a significant performance-based compensation award.

How many APPLIED OPTOELECTRONICS (AAOI) shares does Yeh Shu-Hua hold after these transactions?

After the reported grant, tax withholding, and sale, Yeh Shu-Hua directly owns 462,430 shares of APPLIED OPTOELECTRONICS common stock. This figure reflects his remaining direct stake following the 39,154-share sale and the 7,928 shares withheld for tax obligations.

Were any APPLIED OPTOELECTRONICS (AAOI) shares withheld for taxes in this Form 4?

Yes. The Form 4 shows 7,928 shares of APPLIED OPTOELECTRONICS common stock designated under code F. A footnote explains these shares were withheld solely to satisfy applicable tax withholding obligations related to the equity award settlement.

Is the APPLIED OPTOELECTRONICS (AAOI) transaction mainly a sale or a compensation event?

The filing primarily reflects a compensation event through a 192,170-share performance-based award, followed by tax withholding and a 39,154-share sale. Overall, it combines a large equity grant with a more modest disposition relative to the resulting share ownership.