STOCK TITAN
  1. Home
  2. Sec-filings
  3. AAOI
  4. [Form 4] APPLIED OPTOELECTRONICS, INC. Insider Trading Activity

Applied Optoelectronics (NASDAQ: AAOI) insider sale and tax share surrender

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

Rhea-AI Filing Summary

Applied Optoelectronics executive Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager, reported one sale of 1,285 common shares on July 21, 2026 at a weighted average price of $120.02 per share under a Rule 10b5-1 trading plan adopted March 19, 2026.

On July 22, 2026, he surrendered a total of 4,709 shares of common stock at $119.26 per share to the issuer to satisfy tax-withholding obligations arising from the vesting of previously granted restricted stock unit awards.

Positive

  • None.

Negative

  • None.

Insights

Analyzing...

Insider Yeh Shu-Hua (Joshua)
Role *** See Remarks
Sold 1,285 shs ($154K)
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value F2 2,553 $119.26 $304K
Tax Withholding Common Stock, $.001 par value F3 609 $119.26 $73K
Tax Withholding Common Stock, $.001 par value F4 861 $119.26 $103K
Tax Withholding Common Stock, $.001 par value F5 686 $119.26 $82K
Sale Common Stock, $.001 par value F1 1,285 $120.02 $154K
Holdings After Transaction: Common Stock, $.001 par value — 388,213 shares (Direct)
Footnotes (5)
  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 $120.00 to $120.08 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
  2. F2. 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. F3. 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. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
  5. F5. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026
Shares sold 1,285 shares Common stock sale on 2026-07-21 under a Rule 10b5-1 trading plan
Weighted average sale price $120.02 per share Weighted average price for the 1,285 shares sold on 2026-07-21, with trades from $120.00 to $120.08
Shares surrendered for tax withholding 4,709 shares Total common shares surrendered to issuer on 2026-07-22 to satisfy tax-withholding on RSU vesting
Tax-withholding share price $119.26 per share Price used for share surrenders related to tax-withholding dispositions on 2026-07-22
Rule 10b5-1 trading plan financial
"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.
restricted stock unit financial
"upon the vesting of restricted stock unit award granted on June 26, 2023"
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
tax-withholding obligations financial
"shares surrendered to the Issuer to satisfy tax-withholding obligations upon"
weighted average sale price financial
"The price reported reflects the weighted average sale price for the transactions"

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google
Add on Google
Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider stock transactions did Yeh Shu-Hua report for Applied Optoelectronics (AAOI)?
Yeh Shu-Hua, a senior vice president at Applied Optoelectronics, reported selling 1,285 common shares and surrendering 4,709 shares back to the issuer. The surrendered shares covered tax withholding triggered by vesting of several restricted stock unit awards on July 22, 2026.

How many AAOI shares did the executive sell, and at what price?
He sold 1,285 shares of Applied Optoelectronics common stock on July 21, 2026. The Form 4 reports a weighted average price of $120.02 per share, with individual trades executed between $120.00 and $120.08 per share.

Were the AAOI insider sales made under a Rule 10b5-1 trading plan?
Yes. The filing states that the sales were effected under a Rule 10b5-1 trading plan adopted by Yeh Shu-Hua on March 19, 2026. Such plans pre-schedule trades, reducing the significance of trade timing as an information signal for investors.

Why were 4,709 Applied Optoelectronics (AAOI) shares surrendered instead of sold?
The 4,709 shares reported on July 22, 2026 were surrendered to the issuer to satisfy tax-withholding obligations arising from vesting of restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.

Does this AAOI Form 4 report any option exercises or derivative transactions?
No. This Form 4 covers only non-derivative common stock transactions: one open-market sale and several share surrenders for tax withholding. It reports no derivative security transactions or option exercises in the derivative section of the filing.
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).
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)
Director10% Owner
XOfficer (give title below)Other (specify below)
*** See Remarks
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/21/2026		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 value07/21/2026S1,285(1)D$120.02392,922D
Common Stock, $.001 par value07/22/2026F2,553(2)D$119.26390,369D
Common Stock, $.001 par value07/22/2026F609(3)D$119.26389,760D
Common Stock, $.001 par value07/22/2026F861(4)D$119.26388,899D
Common Stock, $.001 par value07/22/2026F686(5)D$119.26388,213D
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. 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 $120.00 to $120.08 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
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.
5. 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 Asia General Manager.
/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh07/23/2026
** 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