APPLIED OPTOELECTRONICS (AAOI) officer sells 50,000 shares under 10b5-1 plan

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer Yeh Shu-Hua (Joshua) reported an open-market sale of 50,000 shares of common stock on March 9, 2026 at a weighted average price of $97.0976 per share.

The shares were sold in multiple transactions within a price range of $94.670 to $99.332 per share under a pre-arranged Rule 10b5-1 trading plan adopted on December 9, 2025. Following these sales, the reporting person directly holds 322,051 shares of the company’s common stock.

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).

X

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^*

Yeh Shu-Hua (Joshua)

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TX 77478

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
APPLIED OPTOELECTRONICS, INC. [ AAOI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	*** See Remarks

3. Date of Earliest Transaction (Month/Day/Year)
03/09/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	03/09/2026		S		50,000(1)	D	$97.0976	322,051	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 9, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $94.670 to $99.332 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.

	/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh	03/10/2026
	** 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.

FAQ

What insider transaction did AAOI officer Yeh Shu-Hua report on Form 4?

Yeh Shu-Hua reported selling 50,000 shares of APPLIED OPTOELECTRONICS common stock. The transactions occurred on March 9, 2026 as open-market sales at a weighted average price of $97.0976 per share, executed under a pre-arranged Rule 10b5-1 trading plan.

At what prices were the APPLIED OPTOELECTRONICS (AAOI) shares sold?

The 50,000 APPLIED OPTOELECTRONICS shares were sold at prices ranging from $94.670 to $99.332 per share. The Form 4 reports a weighted average sale price of $97.0976 per share across multiple individual transactions executed on March 9, 2026.

How many AAOI shares does Yeh Shu-Hua hold after the reported sale?

After selling 50,000 shares, Yeh Shu-Hua directly holds 322,051 shares of APPLIED OPTOELECTRONICS common stock. This post-transaction holding figure comes directly from the Form 4 and reflects the remaining position following the March 9, 2026 open-market sales.

Was the AAOI insider sale made under a Rule 10b5-1 trading plan?

Yes. The filing states the sales were effected under a Rule 10b5-1 trading plan adopted on December 9, 2025. Such plans pre-schedule trades, which means the timing of these March 9, 2026 sales was determined in advance rather than decided opportunistically.

What type of security did AAOI insider Yeh Shu-Hua sell?

The reported transaction involves APPLIED OPTOELECTRONICS common stock with a par value of $0.001 per share. The Form 4 describes a non-derivative open-market sale of 50,000 common shares, rather than options, warrants, or other derivative securities.