APPLIED OPTOELECTRONICS (AAOI) director receives 1,166 RSUs under 2026 plan

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Lin Che-Wei reported acquisition or exercise transactions in this Form 4 filing.

APPLIED OPTOELECTRONICS, INC. director Che-Wei Lin reported an equity compensation grant of 1,166 shares of common stock in the form of Restricted Stock Units under the company’s 2026 Equity Incentive Plan. These RSUs vest in 12 equal monthly installments, with 1/12 of the total vesting on the same day each month starting on July 5, 2026, until all shares have vested. Following this award, Lin holds a total of 254,672 shares of common stock directly.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Lin Che-Wei

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, $.001 par value	1,166	$0.00	--

Holdings After Transaction: Common Stock, $.001 par value — 254,672 shares (Direct, null)

Footnotes (1)

[object Object]

Key Figures

RSUs granted: 1,166 shares Post-award holdings: 254,672 shares Vesting start date: July 5, 2026 +2 more

5 metrics

RSUs granted 1,166 shares Restricted Stock Units awarded to Che-Wei Lin

Post-award holdings 254,672 shares Total common stock owned directly after transaction

Vesting start date July 5, 2026 First 1/12 installment of RSU vesting

Vesting pattern 1/12 monthly RSUs vest monthly on same day until fully vested

Grant price per share $0.0000 per share Stated price for RSU grant (compensation award)

Key Terms

Restricted Stock Units (RSUs), 2026 Equity Incentive Plan, vests, Grant, award, or other acquisition

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."

vests financial

"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."

Grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

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Form 4 Insider Transactions: What Each Field Means →

06/11/2026 - 05:27 PM

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^*

Lin Che-Wei

(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)

X	Director	10% 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)

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $.001 par value	06/09/2026		A		1,166⁽¹⁾	A	$0.00	254,672	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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.

	/s/ David C. Kuo, attorney in fact for Che-Wei Lin	06/11/2026
	** 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).
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 Che-Wei Lin report in this Form 4 filing?

Che-Wei Lin reported receiving 1,166 shares of APPLIED OPTOELECTRONICS common stock as a Restricted Stock Unit grant. The award is part of equity compensation under the company’s 2026 Equity Incentive Plan and was not an open-market stock purchase.

How many AAOI shares were granted to Che-Wei Lin and in what form?

Che-Wei Lin was granted 1,166 shares of APPLIED OPTOELECTRONICS common stock in the form of Restricted Stock Units (RSUs). RSUs are share-based awards that convert into actual shares over time as vesting conditions are met.

What is the vesting schedule for Che-Wei Lin’s 1,166 AAOI RSUs?

The 1,166 RSUs vest in 12 equal monthly installments, with 1/12 of the total vesting each month. Vesting begins on July 5, 2026, and continues on the same day of each subsequent month until all shares have vested.

Under which plan were the new AAOI RSUs for Che-Wei Lin granted?

The RSUs were granted under APPLIED OPTOELECTRONICS’ 2026 Equity Incentive Plan. This plan provides share-based compensation to directors and employees, aligning their interests with shareholders through equity awards instead of cash payments.

How many AAOI shares does Che-Wei Lin own after this RSU grant?

After the 1,166-share RSU grant, Che-Wei Lin is reported to own 254,672 shares of APPLIED OPTOELECTRONICS common stock directly. This total includes the newly awarded RSUs, reflecting his updated post-transaction holdings disclosed in the filing.

Was Che-Wei Lin’s AAOI RSU grant an open-market stock purchase?

No, the RSU grant was not an open-market purchase. It is recorded with transaction code A, indicating a grant or award of equity compensation, with a stated price of $0.0000 per share, rather than a market transaction at prevailing prices.