Applied Optoelectronics SVP surrenders shares for taxes

Accepted by SEC EDGAR 07/23/2026 - 05:11 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Chang Hung-Lun (Fred), Senior Vice President and North America General Manager of Applied Optoelectronics, reported four F-code dispositions on 2026-07-22, surrendering 4,676 shares of common stock back to the issuer at $119.26 per share to satisfy tax-withholding obligations upon vesting of multiple restricted stock unit awards. The Rule 10b5-1 trading plan box was not checked.

Insider Trade Summary

Tax Withholding: 4,676 shares

Tax Withholding 4 txns

Insider Chang Hung-Lun (Fred)

Role *** See Remarks

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock, $.001 par value F1	2,674	$119.26	$319K
Tax Withholding	Common Stock, $.001 par value F2	613	$119.26	$73K
Tax Withholding	Common Stock, $.001 par value F3	773	$119.26	$92K
Tax Withholding	Common Stock, $.001 par value F4	616	$119.26	$73K

Holdings After Transaction: Common Stock, $.001 par value — 281,448 shares (Direct)

Footnotes (4)

1. F1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
2. F2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
3. F3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
4. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Key Figures

Shares surrendered for taxes: 4,676 shares Shares from 2023 RSU grant: 2,674 shares Shares from 2024 RSU grant: 613 shares +3 more

6 metrics

Shares surrendered for taxes 4,676 shares Total shares used to satisfy tax-withholding obligations on 2026-07-22

Shares from 2023 RSU grant 2,674 shares Surrendered upon vesting of restricted stock unit award granted on June 26, 2023

Shares from 2024 RSU grant 613 shares Surrendered upon vesting of restricted stock unit award granted on April 29, 2024

Shares from 2025 RSU grant 773 shares Surrendered upon vesting of restricted stock unit award granted on April 11, 2025

Shares from 2026 RSU grant 616 shares Surrendered upon vesting of restricted stock unit award granted on February 9, 2026

Per-share value for tax withholding $119.2600 per share Applied to all F-code tax-withholding dispositions on 2026-07-22

Key Terms

restricted stock unit award, tax-withholding obligations, surrendered to the Issuer, Common Stock, $.001 par value

4 terms

restricted stock unit award financial

"upon the vesting of restricted stock unit award granted on June 26, 2023"

A restricted stock unit award is a promise by a company to give an employee a specified number of company shares at a future date if certain conditions are met, such as staying with the company or hitting performance goals. For investors, these awards matter because they can increase the total number of shares outstanding when converted, diluting existing holders, and they align employees’ incentives with shareholders’ interests much like giving a rising bonus that becomes real only after conditions are satisfied.

tax-withholding obligations financial

"to satisfy tax-withholding obligations upon the vesting of restricted stock unit award"

surrendered to the Issuer financial

"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations"

Common Stock, $.001 par value financial

"security_title: Common Stock, $.001 par value"

FAQ

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

What insider activity did Chang Hung-Lun (Fred) report for AAOI?

Chang Hung-Lun (Fred) reported four F-code dispositions of Applied Optoelectronics common stock on 2026-07-22. In total, 4,676 shares were surrendered back to the issuer to cover tax-withholding obligations related to vesting restricted stock unit awards granted between 2023 and 2026.

How many AAOI shares were surrendered for taxes in this Form 4?

The Form 4 reports that 4,676 shares of Applied Optoelectronics common stock were surrendered. These shares, valued at $119.26 per share, were delivered to the issuer solely to satisfy tax-withholding obligations triggered by the vesting of several restricted stock unit awards.

At what price were the AAOI tax-withholding shares valued?

All reported tax-withholding dispositions used a value of $119.26 per share. This per-share figure applied consistently to the four F-code transactions on 2026-07-22, when a combined 4,676 shares were surrendered to Applied Optoelectronics to meet associated tax obligations.

Were the AAOI insider transactions made under a Rule 10b5-1 plan?

The Rule 10b5-1 checkbox was not marked for these transactions. That indicates the Form 4 does not identify the reported tax-withholding share surrenders as having been executed pursuant to a pre-arranged Rule 10b5-1 trading plan.

Which AAOI equity awards triggered the tax-withholding share surrenders?

The dispositions relate to vesting of restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026. For each grant, shares were surrendered back to Applied Optoelectronics to satisfy associated tax-withholding obligations.

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^*

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)

	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)
07/22/2026

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	07/22/2026		F		2,674(1)	D	$119.26	283,450	D
Common Stock, $.001 par value	07/22/2026		F		613(2)	D	$119.26	282,837	D
Common Stock, $.001 par value	07/22/2026		F		773(3)	D	$119.26	280,064	D
Common Stock, $.001 par value	07/22/2026		F		616(4)	D	$119.26	281,448	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 26, 2023.

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

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

4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Remarks:

*** Senior Vice President and North America General Manager

	/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang	07/23/2026
	** 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)