Applied Optoelectronics (NASDAQ: AAOI) exec sells stock under 10b5-1 plan

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. (AAOI) reported an insider sale by Senior Vice President and Asia General Manager Yeh Shu-Hua (Joshua). On 2026-08-18, he sold 6,000 shares of common stock at a weighted average price of $147.73 per share in open-market or private transactions under a Rule 10b5-1 trading plan adopted on March 19, 2026. After these sales, he directly holds 377,498 shares of AAOI common stock.

Insider Trade Summary 10b5-1

Net Seller: 6,000 shares

Net Sell 1 txn

Insider Yeh Shu-Hua (Joshua)

Role *** See Remarks

Sold 6,000 shs ($886K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value F1	6,000	$147.73	$886K

Holdings After Transaction: Common Stock, $.001 par value — 377,498 shares (Direct)

Footnotes (1)

1. F1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $145.00 to $150.99 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: 6,000 shares Weighted average sale price: $147.73 per share Sale price range: $145.00 to $150.99 per share +2 more

5 metrics

Shares sold 6,000 shares Common stock sale on 2026-08-18

Weighted average sale price $147.73 per share Reported sale price for 6,000 shares

Sale price range $145.00 to $150.99 per share Actual prices for multiple sale transactions

Shares owned after transaction 377,498 shares Direct holdings following the sale

Rule 10b5-1 plan adoption date March 19, 2026 Date reporting person adopted trading plan

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, Common Stock, $.001 par value

3 terms

Rule 10b5-1 trading plan regulatory

"These sales were effected pursuant to a Rule 10b5-1 trading plan adopted"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

weighted average sale price financial

"The price reported reflects the weighted average sale price for the"

Common Stock, $.001 par value financial

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

FAQ

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

AAOI reported that Senior Vice President and Asia General Manager Yeh Shu-Hua (Joshua) sold 6,000 shares of common stock on 2026-08-18 in a transaction coded as a sale in the open market or a private transaction.

At what price did the AAOI insider sell shares in this Form 4?

The insider sale used a weighted average price of $147.73 per share. The shares were sold in multiple transactions at actual sale prices ranging from $145.00 to $150.99 per share, as disclosed in the footnote.

How many AAOI shares does Yeh Shu-Hua (Joshua) hold after this transaction?

Following the reported sale, Yeh Shu-Hua (Joshua) directly holds 377,498 shares of AAOI common stock, according to the post-transaction holdings figure in the filing.

Was the AAOI insider sale made under a Rule 10b5-1 trading plan?

Yes. The filing states that these sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2026, and the Form 4 indicates the Rule 10b5-1 checkbox as affirmed.

What is the security involved in this AAOI Form 4 filing?

The transaction involves Common Stock, $.001 par value of APPLIED OPTOELECTRONICS, INC. (AAOI). A total of 6,000 shares of this common stock were sold in the reported transaction.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/20/2026 - 04:17 PM Accepted by SEC EDGAR 08/20/2026 - 04:16 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).

X

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)
08/18/2026

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	08/18/2026		S		6,000(1)	D	$147.73	377,498	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 sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $145.00 to $150.99 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	08/20/2026
	** 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)