Applied Optoelectronics director gifts 2,200 shares

AAOI director Richard B. Black reported a charitable gift of shares via his revocable trust, with both indirect and direct holdings disclosed after the transaction.

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. (AAOI) director Richard B. Black reported a bona fide gift of 2,200 shares of common stock on September 15, 2026. The gift was made from The Richard B. Black Revocable Trust to a 501(c)(3) non-profit organization, and is reported as an indirect disposition by trust.

After the transaction, the trust’s indirect holdings are 159,092 shares, while Black also holds 4,237 shares directly. The shares in the trust are held in a revocable living trust of which he is the sole trustee and beneficial owner, and no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

2,200 shares gifted

Gift 2 txns

Insider BLACK RICHARD B

Role Director

Type	Security	Shares	Price	Value
Gift	Common Stock, $.001 par value F1	2,200	$0.00	$0.00
holding	Common Stock, $.001 par value	--	--	--

Holdings After Transaction: Common Stock, $.001 par value — 159,092 shares (Indirect, By Trust); Common Stock, $.001 par value — 4,237 shares (Direct)

Footnotes (1)

1. F1. Represents a bona fide gift of shares to a 501(c)(3) non-profit organization by The Richard B. Black Revocable Trust U/A Dtd. Aug 31, 1998; Richard B. Black TTEE. The shares were held by the Reporting Person in a revocable living trust of which the Reporting Person is the sole trustee and beneficial owner.

Key Figures

Shares gifted: 2,200 shares Indirect holdings after transaction: 159,092 shares Direct holdings after transaction: 4,237 shares +2 more

5 metrics

Shares gifted 2,200 shares Bona fide gift of AAOI common stock on September 15, 2026

Indirect holdings after transaction 159,092 shares Shares of AAOI common stock held indirectly by trust after the gift

Direct holdings after transaction 4,237 shares AAOI common stock held directly by Richard B. Black after reported transactions

Transaction price per share $0.00 per share Reported for bona fide gift of AAOI common stock (no consideration)

Gift transaction count 1 transaction Single bona fide gift reported in the Form 4

Key Terms

bona fide gift, 501(c)(3) non-profit organization, revocable living trust, beneficial owner, +1 more

5 terms

bona fide gift financial

"Represents a bona fide gift of shares to a 501(c)(3) non-profit"

A bona fide gift is a genuine, voluntary transfer of money, property, or benefits from one party to another made without expectation of repayment, services, or hidden conditions. Investors care because such gifts can affect company disclosures, related‑party transaction rules, tax treatment, and perceived conflicts of interest; think of it like someone giving you a present with no strings attached — but on a corporate scale, auditors and regulators need to verify it really is unconditional.

501(c)(3) non-profit organization regulatory

"gift of shares to a 501(c)(3) non-profit organization by The Richard"

revocable living trust financial

"held by the Reporting Person in a revocable living trust of which"

beneficial owner financial

"revocable living trust of which the Reporting Person is the sole trustee and beneficial owner"

A beneficial owner is the person who ultimately owns or controls a financial asset or property, even if their name isn't directly on official documents. Think of it like someone who secretly holds the keys to a safe deposit box—others may appear to have access, but the true owner is the one who benefits from what's inside. Identifying beneficial owners helps ensure transparency and prevent illegal activities like money laundering or fraud.

indirect ownership financial

"total shares following transaction reported as indirect, nature of ownership By Trust"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did AAOI director Richard B. Black report in this Form 4?

He reported a bona fide gift of 2,200 AAOI common shares on September 15, 2026, made from his revocable trust to a 501(c)(3) non-profit organization, and updated his indirect and direct share holdings after the gift.

How many AAOI shares were gifted and to whom?

The filing states that 2,200 shares of AAOI common stock were gifted as a bona fide gift by The Richard B. Black Revocable Trust to a 501(c)(3) non-profit organization.

What are Richard B. Black’s indirect AAOI holdings after the gift?

Following the gift, the trust’s indirect holdings are reported as 159,092 AAOI common shares. These shares are held in a revocable living trust where Richard B. Black is the sole trustee and beneficial owner.

How many AAOI shares does Richard B. Black hold directly after this transaction?

The Form 4 reports that Richard B. Black holds 4,237 AAOI common shares directly after the reported transactions, in addition to his indirect holdings through the revocable trust.

Was this AAOI Form 4 transaction part of a Rule 10b5-1 trading plan?

No. The document-level indicator for Rule 10b5-1 trading plans is unchecked, and there is no footnote stating that the bona fide gift was made under a Rule 10b5-1 or similar pre-arranged trading plan.

What role does the revocable living trust play in AAOI director Black’s holdings?

The Form 4 explains that the gifted shares were held by The Richard B. Black Revocable Trust, a revocable living trust where he is the sole trustee and beneficial owner, so transactions are reported as indirect ownership by trust.

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

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Available on EDGAR 09/17/2026 - 04:09 PM Accepted by SEC EDGAR 09/17/2026 - 04:08 PM Learn about SEC filing dates

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^*

BLACK RICHARD B

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TEXAS

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

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	09/15/2026		G(1)		2,200	D	$0.00	159,092	I	By Trust
Common Stock, $.001 par value								4,237	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. Represents a bona fide gift of shares to a 501(c)(3) non-profit organization by The Richard B. Black Revocable Trust U/A Dtd. Aug 31, 1998; Richard B. Black TTEE. The shares were held by the Reporting Person in a revocable living trust of which the Reporting Person is the sole trustee and beneficial owner.

	/s/ David C. Kuo, attorney in fact for Richard B. Black	09/17/2026
	** 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)