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Applied Optoelectronics (NASDAQ: AAOI) SVP uses shares to cover taxes

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Applied Optoelectronics executive Hung-Lun (Fred) Chang reported multiple share surrenders to cover taxes on restricted stock units that vested. On January 22, 2026, he surrendered 1,874, 2,940, 674, and 850 shares of common stock at a price of $38.38 per share, in four separate transactions coded “F” for tax withholding. These shares were returned to the company to satisfy tax-withholding obligations tied to RSU awards granted in 2022, 2023, 2024, and 2025. After these transactions, Chang directly beneficially owned 244,219 shares of Applied Optoelectronics common stock.

Positive

  • None.

Negative

  • None.
Insider Chang Hung-Lun (Fred)
Role *** See Remarks
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 1,874 $38.38 $72K
Tax Withholding Common Stock, $.001 par value 2,940 $38.38 $113K
Tax Withholding Common Stock, $.001 par value 674 $38.38 $26K
Tax Withholding Common Stock, $.001 par value 850 $38.38 $33K
Holdings After Transaction: Common Stock, $.001 par value — 248,683 shares (Direct)
Footnotes (1)
  1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
Form 4 Insider Transactions: What Each Field Means →
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*
Chang Hung-Lun (Fred)
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
*** See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
01/22/2026
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 01/22/2026 F 1,874(1) D $38.38 248,683 D
Common Stock, $.001 par value 01/22/2026 F 2,940(2) D $38.38 245,743 D
Common Stock, $.001 par value 01/22/2026 F 674(3) D $38.38 245,069 D
Common Stock, $.001 par value 01/22/2026 F 850(4) D $38.38 244,219 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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
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.
Remarks:
*** Senior Vice President and North America General Manager.
/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang 01/26/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did AAOI report for Hung-Lun (Fred) Chang?

AAOI reported that officer Hung-Lun (Fred) Chang surrendered several blocks of common stock shares on January 22, 2026, to cover tax-withholding obligations related to vested restricted stock units.

How many AAOI shares did Hung-Lun (Fred) Chang surrender for taxes?

On January 22, 2026, Chang surrendered 1,874, 2,940, 674, and 850 AAOI common shares in four separate tax-withholding transactions.

At what price were the AAOI tax-withholding share surrenders valued?

Each of the reported share surrenders by Chang was valued at $38.38 per share, the price used for the Form 4 tax-withholding transactions.

Why were AAOI shares surrendered by Hung-Lun (Fred) Chang?

The shares were surrendered to the issuer to satisfy tax-withholding obligations arising from the vesting of restricted stock unit awards granted in 2022, 2023, 2024, and 2025.

How many AAOI shares does Hung-Lun (Fred) Chang hold after these transactions?

Following the January 22, 2026 tax-withholding transactions, Chang directly beneficially owned 244,219 shares of Applied Optoelectronics common stock.

What is Hung-Lun (Fred) Chang’s role at Applied Optoelectronics (AAOI)?

The remarks identify Chang as Senior Vice President and North America General Manager of Applied Optoelectronics.