Applied Optoelectronics (NASDAQ: AAOI) SVP sells 4,715 shares under plan

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. executive Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager, sold 4,715 shares of common stock on August 4, 2026 at a weighted average price of $126.50 per share, in trades between $125.98 and $128.11 under a Rule 10b5-1 trading plan adopted March 19, 2026. After these sales, he directly holds 383,498 shares.

Insider Trade Summary 10b5-1

Net Seller: 4,715 shares

Net Sell 1 txn

Insider Yeh Shu-Hua (Joshua)

Role *** See Remarks

Sold 4,715 shs ($596K)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value F1	4,715	$126.50	$596K

Holdings After Transaction: Common Stock, $.001 par value — 383,498 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 $125.98 to $128.11 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: 4,715 shares Weighted average sale price: $126.50 per share Price range of sales: $125.98–$128.11 per share +1 more

4 metrics

Shares sold 4,715 shares Common Stock sale on August 4, 2026 by Yeh Shu-Hua

Weighted average sale price $126.50 per share Average price for 4,715 shares sold on August 4, 2026

Price range of sales $125.98–$128.11 per share Actual sale prices for the reported transactions

Shares held after transaction 383,498 shares Direct common stock ownership after the August 4, 2026 sale

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 transactions"

Common Stock, $.001 par value financial

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/04/2026 - 05:05 PM Accepted by SEC EDGAR 08/04/2026 - 05:05 PM Learn about SEC filing dates

FAQ

What insider transaction did AAOI report for Yeh Shu-Hua on August 4, 2026?

Yeh Shu-Hua sold 4,715 shares of Applied Optoelectronics common stock on August 4, 2026. The weighted average sale price was $126.50 per share, with trades between $125.98 and $128.11, executed under a pre-established Rule 10b5-1 trading plan.

At what price did AAOI insider Yeh Shu-Hua sell his shares?

The reported weighted average sale price was $126.50 per share. According to the disclosure, the individual sale prices for the 4,715 shares ranged from $125.98 to $128.11 per share, all effected pursuant to a Rule 10b5-1 trading plan.

How many AAOI shares does Yeh Shu-Hua hold after the reported sale?

Following the reported transactions, Yeh Shu-Hua directly holds 383,498 shares of Applied Optoelectronics common stock. This figure reflects his direct ownership position immediately after selling 4,715 shares on August 4, 2026 under the Rule 10b5-1 trading plan.

Was the AAOI insider sale by Yeh Shu-Hua made under a Rule 10b5-1 plan?

Yes, the sales were made under a Rule 10b5-1 trading plan. The plan was adopted by Yeh Shu-Hua on March 19, 2026, and the filing notes that all reported transactions were executed pursuant to this pre-arranged trading arrangement.

What is Yeh Shu-Hua’s role at AAOI mentioned in the insider report?

Yeh Shu-Hua serves as Senior Vice President and Asia General Manager at Applied Optoelectronics. This officer role is disclosed in the report’s remarks, indicating he is a key executive responsible for the company’s operations and management across Asia.

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)
08/04/2026

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	08/04/2026		S		4,715(1)	D	$126.5	383,498	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 $125.98 to $128.11 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	08/04/2026
	** 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)