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Applied Optoelectronics (AAOI) director granted 1,166 RSU shares in equity award

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

DeLaney Cynthia reported acquisition or exercise transactions in this Form 4 filing.

APPLIED OPTOELECTRONICS, INC. director Cynthia DeLaney reported an equity compensation grant and updated her reported holdings. She received 1,166 shares of common stock at $0.00 per share as a grant of Restricted Stock Units under the 2026 Equity Incentive Plan, bringing her directly held shares to 60,813. The RSU grant vests in equal monthly installments of 1/12 of the total starting on July 5, 2026 until fully vested. A separate entry reflects 2,380 shares held indirectly by her spouse, which she disclaims beneficial ownership of except for any indirect pecuniary interest.

Positive

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Negative

  • None.
Insider DeLaney Cynthia
Role null
Type Security Shares Price Value
Grant/Award Common Stock, $.001 par value 1,166 $0.00 --
holding Common Stock, $.001 par value -- -- --
Holdings After Transaction: Common Stock, $.001 par value — 60,813 shares (Direct, null); Common Stock, $.001 par value — 2,380 shares (Indirect, By Spouse)
Footnotes (1)
  1. These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026, until all shares have vested. Held directly by Norman Stephan Kinsella, the spouse of Cynthia DeLaney. Ms. DeLaney disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by her spouse, except to the extent of any indirect pecuniary interest therein.
RSU grant size 1,166 shares Restricted Stock Units granted to director as equity award
Grant price $0.00 per share Price per share for RSU grant (compensation, not purchase)
Direct holdings after grant 60,813 shares Common stock directly held by Cynthia DeLaney after transaction
Indirect spouse holdings 2,380 shares Common stock held by spouse, with beneficial ownership disclaimed
Vesting schedule 1/12 monthly RSUs vest 1/12 each month starting July 5, 2026
Transaction code A Indicates grant, award, or other acquisition of common stock
Restricted Stock Units financial
"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
RSUs financial
"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."
RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.
2026 Equity Incentive Plan financial
"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."
beneficial ownership financial
"Ms. DeLaney disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by her spouse,"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
pecuniary interest financial
"except to the extent of any indirect pecuniary interest therein."
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Form 4 Insider Transactions: What Each Field Means →
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).
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*
DeLaney Cynthia
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/09/2026		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 value06/09/2026A1,166(1)A$0.0060,813D
Common Stock, $.001 par value2,380(2)IBy Spouse
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 shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 5, 2026, until all shares have vested.
2. Held directly by Norman Stephan Kinsella, the spouse of Cynthia DeLaney. Ms. DeLaney disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by her spouse, except to the extent of any indirect pecuniary interest therein.
/s/ David C. Kuo, attorney in fact for Cynthia (Cindy) DeLaney06/11/2026
** 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

FAQ

What insider transaction did AAOI director Cynthia DeLaney report?

Cynthia DeLaney reported receiving a grant of 1,166 shares of APPLIED OPTOELECTRONICS common stock as Restricted Stock Units at $0.00 per share. This is equity compensation under the company’s 2026 Equity Incentive Plan, not an open-market stock purchase.

How many AAOI shares does Cynthia DeLaney hold after this Form 4?

After the reported grant, Cynthia DeLaney directly holds 60,813 shares of APPLIED OPTOELECTRONICS common stock. The filing separately notes 2,380 shares held by her spouse, which she disclaims beneficial ownership of except for any indirect pecuniary interest.

How do the AAOI Restricted Stock Units granted to Cynthia DeLaney vest?

The 1,166 Restricted Stock Units granted to Cynthia DeLaney vest in 12 equal parts. One-twelfth of the total vests on the same day every month starting on July 5, 2026, continuing monthly until all shares have fully vested under the plan.

Is Cynthia DeLaney’s AAOI share grant an open-market purchase?

No, the 1,166 AAOI shares were granted as Restricted Stock Units at $0.00 per share. This reflects equity compensation under the company’s 2026 Equity Incentive Plan, rather than DeLaney buying shares on the open market from other shareholders.

What does the AAOI Form 4 say about shares held by Cynthia DeLaney’s spouse?

The Form 4 reports 2,380 AAOI shares held directly by Norman Stephan Kinsella, Cynthia DeLaney’s spouse. DeLaney disclaims beneficial ownership of these securities, except to the extent of any indirect pecuniary interest she may have through that relationship.

What is the transaction code used for Cynthia DeLaney’s AAOI share grant?

The AAOI Form 4 uses transaction code “A” for Cynthia DeLaney’s 1,166-share grant. This code indicates a grant, award, or other acquisition of common stock as compensation, distinguishing it from a routine open-market purchase or sale transaction.