Which AAOI equity awards triggered the tax-withholding share surrenders?

The share surrenders relate to restricted stock unit awards granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026. As these RSUs vested, shares were surrendered to Applied Optoelectronics to meet associated tax-withholding requirements.

Applied Optoelectronics (NASDAQ: AAOI) exec surrenders shares for taxes

Filing Impact

(Very High)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. officer Chang Hung-Lun (Fred) reported routine share dispositions tied to tax withholding. On April 22, 2026, he surrendered a total of 5,140 shares of common stock at $150.57 per share to the company to cover tax obligations on vesting restricted stock units granted on June 26, 2023, April 29, 2024, April 11, 2025, and February 9, 2026.

These F‑code transactions are tax-withholding dispositions, not open‑market sales, and reflect compensation-related mechanics. After these entries, Chang directly holds 230,678 shares of common stock.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Chang Hung-Lun (Fred)

Role *** See Remarks

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock, $.001 par value	2,940	$150.57	$443K
Tax Withholding	Common Stock, $.001 par value	673	$150.57	$101K
Tax Withholding	Common Stock, $.001 par value	850	$150.57	$128K
Tax Withholding	Common Stock, $.001 par value	677	$150.57	$102K

Holdings After Transaction: Common Stock, $.001 par value — 230,678 shares (Direct, null)

Footnotes (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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026.

Key Figures

Tax-withholding shares: 5,140 shares Tax-withholding price: $150.57 per share Post-transaction holdings: 230,678 shares +2 more

5 metrics

Tax-withholding shares 5,140 shares Shares surrendered on April 22, 2026 for RSU tax withholding

Tax-withholding price $150.57 per share Value used for April 22, 2026 tax-withholding dispositions

Post-transaction holdings 230,678 shares Common stock directly held after April 22, 2026 transactions

Single largest F-code lot 2,940 shares Largest individual tax-withholding surrender on April 22, 2026

Number of F-code transactions 4 transactions Tax-withholding dispositions reported on April 22, 2026

Key Terms

restricted stock unit, tax-withholding obligations, Form 4, Common Stock, $.001 par value, +1 more

5 terms

restricted stock unit financial

"upon the vesting of restricted stock unit award granted on June 26, 2023"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

tax-withholding obligations financial

"Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting"

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Common Stock, $.001 par value financial

"security_title": "Common Stock, $.001 par value""

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

Form 4 Insider Transactions: What Each Field Means →

04/24/2026 - 04:02 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^*

Chang Hung-Lun (Fred)

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/22/2026

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)
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	04/22/2026		F		2,940⁽¹⁾	D	$150.57	230,678	D
Common Stock, $.001 par value	04/22/2026		F		673⁽²⁾	D	$150.57	230,005	D
Common Stock, $.001 par value	04/22/2026		F		850⁽³⁾	D	$150.57	229,155	D
Common Stock, $.001 par value	04/22/2026		F		677⁽⁴⁾	D	$150.57	228,478	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. 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.

Remarks:

*** Senior Vice President and North America General Manager.

	/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang	04/24/2026
	** 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 officer Chang Hung-Lun report in this Form 4?

He reported share dispositions to cover taxes on vesting RSUs. On April 22, 2026, he surrendered 5,140 Applied Optoelectronics common shares back to the company to satisfy tax-withholding obligations tied to multiple restricted stock unit awards.

Were the AAOI Form 4 transactions open-market sales of stock?

No, these transactions were not open-market sales. They are F-code tax-withholding dispositions, where shares are surrendered to the issuer to pay tax liabilities arising from vesting restricted stock unit awards, rather than sold into the public market.

How many AAOI shares did Chang Hung-Lun surrender for taxes?

He surrendered a total of 5,140 Applied Optoelectronics common shares. The dispositions occurred at a reported price of $150.57 per share and were used solely to satisfy tax-withholding obligations associated with vesting restricted stock unit awards.

What is Chang Hung-Lun’s AAOI shareholding after these tax transactions?

After these tax-withholding dispositions, Chang Hung-Lun directly holds 230,678 shares of Applied Optoelectronics common stock. This indicates he retains a substantial equity position even after surrendering shares to cover the RSU-related tax obligations.