Applied Optoelectronics CEO surrenders shares for taxes

The four reported dispositions were tied to restricted stock unit awards granted on dates from June 26, 2023, through February 9, 2026.

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. President and CEO Chih-Hsiang (Thompson) Lin surrendered 16,673 shares on October 22, 2026, to satisfy tax-withholding obligations as four restricted stock unit awards vested. Each reported transaction lists a price of $77.32 per share. Separately, 807,602 shares were indirectly held by the Thompson Lin Family Trust as of October 22, 2026; Lin disclaimed beneficial ownership except to the extent of his voting power.

Insider Trade Summary

Tax Withholding: 16,673 shares

Tax Withholding 5 txns

Insider Lin Chih-Hsiang (Thompson)

Role President and CEO

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock, $.001 par value F1	9,331	$77.32	$721K
Tax Withholding	Common Stock, $.001 par value F2	2,486	$77.32	$192K
Tax Withholding	Common Stock, $.001 par value F3	2,691	$77.32	$208K
Tax Withholding	Common Stock, $.001 par value F4	2,165	$77.32	$167K
holding	Common Stock, $.001 par value F5	--	--	--

Holdings After Transaction: Common Stock, $.001 par value — 1,279,374 shares (Direct); Common Stock, $.001 par value — 807,602 shares (Indirect, By Thompson Lin Family Trust)

Footnotes (5)

1. F1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
2. F2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
3. F3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
4. F4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.
5. F5. 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

Shares surrendered for tax withholding: 16,673 shares Reported price per share: $77.32 per share First disposition: 9,331 shares +4 more

7 metrics

Shares surrendered for tax withholding 16,673 shares Four dispositions on October 22, 2026

Reported price per share $77.32 per share Each of the four dispositions on October 22, 2026

First disposition 9,331 shares October 22, 2026

Second disposition 2,486 shares October 22, 2026

Third disposition 2,691 shares October 22, 2026

Fourth disposition 2,165 shares October 22, 2026

Indirect Family Trust holdings 807,602 shares As of October 22, 2026

Key Terms

restricted stock unit award, tax-withholding obligations, beneficial ownership, irrevocable Family Trust

4 terms

restricted stock unit award financial

"vesting of restricted stock unit award"

A restricted stock unit award is a promise by a company to give an employee a specified number of company shares at a future date if certain conditions are met, such as staying with the company or hitting performance goals. For investors, these awards matter because they can increase the total number of shares outstanding when converted, diluting existing holders, and they align employees’ incentives with shareholders’ interests much like giving a rising bonus that becomes real only after conditions are satisfied.

tax-withholding obligations financial

"satisfy tax-withholding obligations"

beneficial ownership regulatory

"disclaims beneficial ownership of these securities"

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.

irrevocable Family Trust regulatory

"settlor of the irrevocable Family Trust"

FAQ

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

How many AAOI shares did President and CEO Chih-Hsiang (Thompson) Lin surrender for tax withholding?

Lin surrendered 16,673 shares for tax withholding on October 22, 2026. The four reported entries relate to restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.

What price was reported for the AAOI tax-withholding share dispositions?

Each of the four reported dispositions on October 22, 2026, lists a price of $77.32 per share.

How were the other AAOI shares reported for Chih-Hsiang (Thompson) Lin held?

The report lists 807,602 shares indirectly held by the Thompson Lin Family Trust as of October 22, 2026. The trust securities are held through LLC interests for the benefit of Lin’s heirs, and The Bryn Mawr Trust Company of Delaware serves as trustee.

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

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Available on EDGAR 10/26/2026 - 04:05 PM EDT Accepted by SEC EDGAR 10/26/2026 - 04:05 PM EDT Learn about SEC filing dates

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 Chih-Hsiang (Thompson)

(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
X	Officer (give title below)		Other (specify below)
	President and CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/22/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $.001 par value	10/22/2026		F		9,331(1)	D	$77.32	1,286,716	D
Common Stock, $.001 par value	10/22/2026		F		2,486(2)	D	$77.32	1,284,230	D
Common Stock, $.001 par value	10/22/2026		F		2,691(3)	D	$77.32	1,281,539	D
Common Stock, $.001 par value	10/22/2026		F		2,165(4)	D	$77.32	1,279,374	D
Common Stock, $.001 par value								807,602	I	By Thompson Lin Family Trust(5)

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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.

2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.

3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.

4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

5. 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.

	/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin	10/26/2026
	** 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)