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  4. [Form 4] APPLIED OPTOELECTRONICS, INC. Insider Trading Activity

Applied Optoelectronics (NASDAQ: AAOI) director receives 1,166 RSUs in 2026 equity plan grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

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 Chen Min-Chu (Mike)
Role null
Type Security Shares Price Value
Grant/Award Common Stock, $.001 par value 1,166 $0.00 --
holding Common Stock, $.001 par value -- -- --
Holdings After Transaction: Common Stock, $.001 par value — 162,219 shares (Direct, null); Common Stock, $.001 par value — 20,000 shares (Indirect, By Spouse)
Footnotes (1)
  1. 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. 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
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
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"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Chen Min-Chu (Mike)
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/09/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock, $.001 par value06/09/2026A1,166(1)A$0.00162,219D
Common Stock, $.001 par value20,000(2)IBy Spouse
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. 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.
2. 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
/s/ David C. Kuo, attorney in fact for Min-Chu (Mike) Chen06/11/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

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.

How many AAOI shares were granted to Min-Chu (Mike) Chen and on what terms?

Chen was granted 1,166 shares in the form of Restricted Stock Units at a grant price of $0.00. These RSUs were issued under Applied Optoelectronics’ 2026 Equity Incentive Plan as a compensation award, not an open-market purchase of common stock.

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.

How many AAOI shares does Min-Chu (Mike) Chen hold after this transaction?

After the RSU grant, Chen holds 162,219 shares of Applied Optoelectronics common stock directly. The Form 4 also reports 20,000 additional shares held indirectly by his spouse, which he disclaims beneficial ownership of except for any indirect pecuniary interest.

How are Chen’s spouse’s AAOI shares treated in this Form 4 filing?

The filing states that 20,000 AAOI shares are held directly by Chen’s spouse, Yuh-Mei Chung. Chen disclaims beneficial ownership of securities that may be deemed owned by his spouse, except to the extent of any indirect pecuniary interest he may have in those shares.

Are Min-Chu (Mike) Chen’s new AAOI shares from an open-market purchase?

No, the 1,166 shares come from a Restricted Stock Unit grant, not a market trade. They were awarded under the 2026 Equity Incentive Plan as compensation, with a transaction code "A" indicating a grant, award, or other acquisition rather than a purchase on an exchange.