Applied Optoelectronics (NASDAQ: AAOI) director receives 1,166 RSUs in 2026 equity plan grant
Rhea-AI Filing Summary
Chen Min-Chu (Mike) reported acquisition or exercise transactions in this Form 4 filing.
APPLIED OPTOELECTRONICS, INC. director Min-Chu (Mike) Chen reported an equity compensation grant and updated share holdings. He received an award of 1,166 shares in the form of Restricted Stock Units under the Company’s 2026 Equity Incentive Plan at a grant price of $0.00 per share.
The RSU grant vests in 12 equal monthly installments, with 1/12 of the total vesting on the same day each month starting on July 5, 2026, until fully vested. Following this award, Chen holds 162,219 shares of common stock directly. The filing also notes 20,000 shares held indirectly by his spouse, for which he disclaims beneficial ownership except for any indirect pecuniary interest.
Positive
- None.
Negative
- None.
Insider Trade Summary
Net Buyer: 1,166 shares
Net Buy
2 txns
Insider
Chen Min-Chu (Mike)
Role
Director
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Common Stock, $.001 par value | 1,166 | $0.00 | $0.00 |
| holding | Common Stock, $.001 par value | -- | -- | -- |
Holdings After Transaction:
Common Stock, $.001 par value — 162,219 shares (Direct);
Common Stock, $.001 par value — 20,000 shares (Indirect, By Spouse)
Footnotes (2)
- F1. 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.
- F2. Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein
Key Figures
RSU grant size: 1,166 shares
Grant price: $0.00 per share
Direct holdings after grant: 162,219 shares
+2 more
5 metrics
RSU grant size
1,166 shares
Restricted Stock Units granted to director on equity award
Grant price
$0.00 per share
Price for RSU grant under 2026 Equity Incentive Plan
Direct holdings after grant
162,219 shares
Common stock held directly following RSU award
Spouse-held shares
20,000 shares
Common stock held by spouse with beneficial ownership disclaimer
Vesting schedule
1/12 monthly
RSUs vest monthly starting July 5, 2026 until fully vested
Key Terms
Restricted Stock Units (RSUs), 2026 Equity Incentive Plan, beneficial ownership, indirect pecuniary interest
4 terms
Restricted Stock Units (RSUs) financial
"These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2026 Equity Incentive Plan."
Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.
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
"Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein"
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.
indirect pecuniary interest financial
"except to the extent of any indirect pecuniary interest therein"
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What did AAOI director Min-Chu (Mike) Chen report in this Form 4?
Chen reported receiving 1,166 Restricted Stock Units as an equity award and updated his share holdings. The filing shows 162,219 shares held directly after the grant and 20,000 shares held indirectly by his spouse with a beneficial ownership disclaimer.
What is the vesting schedule for Min-Chu (Mike) Chen’s 1,166 AAOI RSUs?
The 1,166 RSUs vest in 12 equal parts, with 1/12 of the award vesting monthly. Vesting starts on July 5, 2026, and continues on the same day each month until all shares from this grant have fully vested under the stated schedule.