[Form 4] Applied Optoelectronics, Inc. Insider Trading Activity

Rhea-AI Filing Summary

William H. Yeh, a director of Applied Optoelectronics, Inc. (AAOI), reported purchases of company common stock on August 13 and August 14, 2025. The Form 4 shows purchases of 10,000 shares on 08/13/2025 at a weighted-average price of $22.75, an additional 4,000 shares on 08/13/2025 at $23.15, and 4,000 shares on 08/14/2025 at $21.40. Following these transactions the reporting person beneficially owned 253,819 shares. The filing was signed by an attorney in fact, David C. Kuo, on 08/14/2025. The filer checked that the reporting person is a director and that the form is filed by one reporting person. The Form includes an explanation that the 10,000-share purchase on 08/13/2025 consisted of multiple transactions at prices between $22.66 and $22.93 with a weighted-average reported.

Positive

• Director purchases shares, which can be interpreted as an insider adding to holdings
• Detailed transaction disclosure including per-transaction price range and weighted-average price for transparency
• Post-transaction beneficial ownership reported as 253,819 shares, showing the director's current stake

Negative

• None.

Insights

Financial Analyst

TL;DR Director purchases totaling 18,000 shares at ~$22.75 average, increasing stake to 253,819 shares; transaction is a straightforward insider buy.

The Form 4 documents incremental open-market purchases by a director on two consecutive dates. The reported weighted-average price for the largest block helps reconcile multiple fills. For investors, director buys can signal confidence but the filing does not state intent or materiality relative to total outstanding shares. No options or derivative transactions were reported.

Corporate Governance Expert

TL;DR Governance disclosure appears complete: director status noted, multiple purchases disclosed, filing executed by attorney in fact.

The filing identifies the reporting person as a director and provides the required transaction detail including prices, dates, and post-transaction beneficial ownership. The explanatory note about weighted-average pricing addresses split fills. Signature by an attorney in fact is present and dated 08/14/2025. There are no indications of Rule 10b5-1 plan boxes being checked in this filing.

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^*

Yeh William H

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TX 77478

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
08/13/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	08/13/2025		P		10,000(1)	A	$22.75	245,819	D
Common Stock, $.001 par value	08/13/2025		P		4,000	A	$23.15	249,819	D
Common Stock, $.001 par value	08/14/2025		P		4,000	A	$21.4	253,819	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 were purchased in multiple transactions on August 13, 2025 at prices ranging from $22.66 to $22.93 per share. The price reported reflects the weighted average purchase prices 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 purchased at each separate price.

	/s/ David C. Kuo, attorney in fact for William H. Yeh	08/14/2025
	** 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.

FAQ

What purchases did AAOI director William H. Yeh report on Form 4?

He reported purchasing 10,000 shares on 08/13/2025 at a weighted-average $22.75, 4,000 shares on 08/13/2025 at $23.15, and 4,000 shares on 08/14/2025 at $21.40.

How many AAOI shares does William H. Yeh beneficially own after these transactions?

The Form 4 reports 253,819 shares beneficially owned following the reported transactions.

Was the Form 4 filing signed and by whom?

Yes. The Form 4 was signed by /s/ David C. Kuo, attorney in fact for William H. Yeh on 08/14/2025.

Did the filing indicate the reporting person’s relationship to AAOI?

Yes. The reporting person is identified as a Director of Applied Optoelectronics, Inc.

Does the filing show any derivative transactions or 10b5-1 plan notation?

No derivative securities are reported in Table II, and the filing does not indicate that the transactions were made pursuant to a 10b5-1 plan.