Applied Optoelectronics SVP surrenders 5,141 shares

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. (AAOI) Senior Vice President and North America General Manager Hung-Lun (Fred) Chang had 5,141 shares surrendered on October 22, 2026, in four transactions to satisfy tax-withholding obligations upon vesting of restricted stock unit awards. Each transaction was reported at $77.32 per share. The awards were granted June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.

Insider Trade Summary

Tax Withholding: 5,141 shares

Tax Withholding 4 txns

Insider Chang Hung-Lun (Fred)

Role *** See Remarks

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock, $.001 par value F1	2,940	$77.32	$227K
Tax Withholding	Common Stock, $.001 par value F2	674	$77.32	$52K
Tax Withholding	Common Stock, $.001 par value F3	850	$77.32	$66K
Tax Withholding	Common Stock, $.001 par value F4	677	$77.32	$52K

Holdings After Transaction: Common Stock, $.001 par value — 244,135 shares (Direct)

Footnotes (4)

1. F1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
2. F2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
3. F3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
4. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Key Figures

Shares surrendered across four transactions: 5,141 shares Shares surrendered, transaction 1: 2,940 shares Shares surrendered, transaction 2: 674 shares +3 more

6 metrics

Shares surrendered across four transactions 5,141 shares Tax withholding on October 22, 2026

Shares surrendered, transaction 1 2,940 shares Tax withholding on October 22, 2026

Shares surrendered, transaction 2 674 shares Tax withholding on October 22, 2026

Shares surrendered, transaction 3 850 shares Tax withholding on October 22, 2026

Shares surrendered, transaction 4 677 shares Tax withholding on October 22, 2026

Reported transaction price $77.32 per share Each transaction on October 22, 2026

Key Terms

restricted stock unit award, tax-withholding obligations, vesting

3 terms

restricted stock unit award financial

"vesting of restricted stock unit award"

A restricted stock unit award is a promise by a company to give an employee a specified number of company shares at a future date if certain conditions are met, such as staying with the company or hitting performance goals. For investors, these awards matter because they can increase the total number of shares outstanding when converted, diluting existing holders, and they align employees’ incentives with shareholders’ interests much like giving a rising bonus that becomes real only after conditions are satisfied.

tax-withholding obligations financial

"to satisfy tax-withholding obligations"

vesting financial

"upon the vesting of restricted stock unit award"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

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

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

Hung-Lun (Fred) Chang had 5,141 shares surrendered on October 22, 2026, to satisfy tax-withholding obligations; each transaction was reported at $77.32 per share.

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

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Available on EDGAR 10/26/2026 - 04:05 PM EDT Accepted by SEC EDGAR 10/26/2026 - 04:05 PM EDT 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^*

Chang Hung-Lun (Fred)

(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)
10/22/2026

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	10/22/2026		F		2,940(1)	D	$77.32	246,336	D
Common Stock, $.001 par value	10/22/2026		F		674(2)	D	$77.32	245,662	D
Common Stock, $.001 par value	10/22/2026		F		850(3)	D	$77.32	244,812	D
Common Stock, $.001 par value	10/22/2026		F		677(4)	D	$77.32	244,135	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 26, 2023.

2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.

3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.

4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Remarks:

*** Senior Vice President and North America General Manager

	/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang	10/26/2026
	** 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.
* Form 4: SEC 1474 (03-26)