AAOI executive granted 25,799 restricted stock units

Chang Hung-Lun (Fred) reported acquisition or exercise transactions in this Form 4 filing.

Accepted by SEC EDGAR 02/11/2026 - 05:10 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Chang Hung-Lun (Fred) reported acquisition or exercise transactions in this Form 4 filing.

Applied Optoelectronics executive Hung-Lun (Fred) Chang, Senior Vice President and North America General Manager, received a grant of 25,799 shares of common stock in the form of restricted stock units at a per-share price of $0.00. Following this equity award, he directly holds 270,018 shares of common stock. The RSUs vest in sixteen equal installments, with one-sixteenth vesting every three months starting on January 21, 2026, creating a multi-year, time-based vesting schedule tied to continued service.

Insider Trade Summary

Grant/Award: 25,799 shares

Grant/Award 1 txn

Insider Chang Hung-Lun (Fred)

Role *** See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, $.001 par value	25,799	$0.00	$0.00

Holdings After Transaction: Common Stock, $.001 par value — 270,018 shares (Direct)

Footnotes (1)

1. F1. The Restricted Stock Units (RSUs) were granted under the Company's Amended and Restated 2021 Equity Incentive Plan, one-sixteen of the RSUs vest every three months commencing on January 21, 2026.

FAQ

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

What insider equity award did AAOI executive Hung-Lun (Fred) Chang receive?

Hung-Lun (Fred) Chang received a grant of 25,799 restricted stock units of Applied Optoelectronics common stock. The award was reported as an acquisition at a price of $0.00 per share, reflecting a compensation grant rather than an open-market purchase.

How do the new AAOI restricted stock units for Fred Chang vest?

The RSUs granted to Fred Chang vest in sixteen equal installments. One-sixteenth of the units vests every three months, beginning on January 21, 2026, creating a gradual vesting schedule that extends over several years and is tied to his continued service with the company.

How many AAOI shares does Fred Chang own after this Form 4 transaction?

After the reported grant, Fred Chang beneficially owns 270,018 shares of Applied Optoelectronics common stock in direct ownership. This total reflects his holdings immediately following the 25,799-share restricted stock unit award reported in the filing.

Was the AAOI insider transaction a market purchase or a stock grant?

The transaction was a stock grant, not a market purchase. It is coded as an acquisition due to a grant, award, or other acquisition at a price of $0.00 per share, consistent with equity compensation under the company’s incentive plan.

Under which plan were the AAOI restricted stock units for Fred Chang issued?

The restricted stock units for Fred Chang were granted under Applied Optoelectronics’ Amended and Restated 2021 Equity Incentive Plan. This plan provides for equity-based compensation, including RSUs that vest over time based on continued employment or service conditions.

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

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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)
02/09/2026

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	02/09/2026		A		25,799(1)	A	$0.00	270,018	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. The Restricted Stock Units (RSUs) were granted under the Company's Amended and Restated 2021 Equity Incentive Plan, one-sixteen of the RSUs vest every three months commencing on January 21, 2026.

Remarks:

*** Senior Vice President and North America General Manager.

	/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang	02/11/2026
	** 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).
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