Applied Optoelectronics CEO granted 9,251 RSUs
Lin Chih-Hsiang (Thompson) reported acquisition or exercise transactions in this Form 4 filing.
Rhea-AI Filing Summary
Lin Chih-Hsiang (Thompson) reported acquisition or exercise transactions in this Form 4 filing.
APPLIED OPTOELECTRONICS, INC. President and CEO Lin Chih-Hsiang (Thompson) received a grant of 9,251 Restricted Stock Units of common stock at no cost under the 2026 Equity Incentive Plan. One-sixteen of the RSUs vest every three months, with the first vesting on January 21, 2027.
After this award he directly holds 1,296,047 common shares. An additional 807,602 shares are held indirectly through the Thompson Lin Family Trust for the benefit of his heirs, and he disclaims beneficial ownership of those shares except to the extent of his voting power.
Positive
- None.
Negative
- None.
Insider Trade Summary
Grant/Award: 9,251 shares
Grant/Award
2 txns
Insider
Lin Chih-Hsiang (Thompson)
Role
President and CEO
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Common Stock, $.001 par value F1 | 9,251 | $0.00 | $0.00 |
| holding | Common Stock, $.001 par value F2 | -- | -- | -- |
Holdings After Transaction:
Common Stock, $.001 par value — 1,296,047 shares (Direct);
Common Stock, $.001 par value — 807,602 shares (Indirect, By Thompson Lin Family Trust)
Footnotes (2)
- F1. The Restricted Stock Units (RSUs) were granted under the Company's 2026 Equity Incentive Plan, one-sixteen of the RSUs vest every three months and the first vesting occurs on January 21, 2027.
- F2. The securities indirectly held in the Family Trust through the ownership of interests in the LLC are for the benefit of the reporting person's heirs. The reporting person is the settlor of the irrevocable Family Trust, where The Bryn Mawr Trust Company of Delaware serves as trustee which may be replaced at the discretion of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of his voting power therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
Key Figures
RSU Grant Size: 9,251 shares
Direct Holdings After Grant: 1,296,047 shares
Indirect Trust Holdings: 807,602 shares
3 metrics
RSU Grant Size
9,251 shares
Restricted Stock Units of common stock granted on July 31, 2026
Direct Holdings After Grant
1,296,047 shares
Common shares directly held by the CEO following the RSU award
Indirect Trust Holdings
807,602 shares
Common shares indirectly held through the Thompson Lin Family Trust
Key Terms
Restricted Stock Units (RSUs), 2026 Equity Incentive Plan, irrevocable Family Trust, beneficial ownership
4 terms
Restricted Stock Units (RSUs) financial
"The Restricted Stock Units (RSUs) were granted under the Company's 2026 Equity Incentive"
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
"RSUs were granted under the Company's 2026 Equity Incentive Plan, one-sixteen of the RSUs vest"
irrevocable Family Trust financial
"The reporting person is the settlor of the irrevocable Family Trust, where The Bryn Mawr"
beneficial ownership financial
"The reporting person disclaims beneficial ownership of these securities except to the extent"
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.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What equity award did AAOI grant to its CEO Lin Chih-Hsiang (Thompson)?
Applied Optoelectronics granted 9,251 Restricted Stock Units of common stock to President and CEO Lin Chih-Hsiang (Thompson) on July 31, 2026. The RSUs were issued at no cost under the 2026 Equity Incentive Plan and vest in equal installments every three months.
What is the vesting schedule for the 9,251 RSUs granted by AAOI?
One-sixteen of the 9,251 RSUs vest every three months, with the first vesting date on January 21, 2027. This creates a regular quarterly vesting pattern until all units have vested, subject to the terms of the 2026 Equity Incentive Plan.
What indirect AAOI holdings are reported through the Thompson Lin Family Trust?
There are 807,602 AAOI shares reported as indirectly held through the Thompson Lin Family Trust. These securities are for the benefit of the reporting person’s heirs, and he disclaims beneficial ownership except to the extent of his voting power in those shares.
Does this AAOI Form 4 indicate trades under a Rule 10b5-1 plan?
The Form 4 does not indicate use of a Rule 10b5-1 trading plan, as the related checkbox is not marked. The reported activity consists of an RSU grant and updated direct and indirect share holdings, rather than open-market purchases or sales.
Under which plan were the AAOI RSUs to the CEO granted?
The 9,251 RSUs were granted under the 2026 Equity Incentive Plan of Applied Optoelectronics. This plan governs the terms of the award, including the quarterly vesting schedule beginning January 21, 2027.
AI-generated analysis. How Rhea-AI works. Not financial advice.
