Applied Optoelectronics director granted 1,166 RSUs

BLACK RICHARD B reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

BLACK RICHARD B reported acquisition or exercise transactions in this Form 4 filing.

APPLIED OPTOELECTRONICS, INC. director Richard B. Black received an equity grant of 1,166 shares of common stock in the form of Restricted Stock Units (RSUs) at no cash cost under the company’s 2026 Equity Incentive Plan.

The RSUs vest in equal 1/12 installments on the same day each month starting on July 5, 2026, until all shares have vested. Following this award, Black directly holds 165,529 shares of common stock, including the newly granted RSUs.

Insider Trade Summary

Grant/Award: 1,166 shares

Grant/Award 1 txn

Insider BLACK RICHARD B

Role Director

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

Holdings After Transaction: Common Stock, $.001 par value — 165,529 shares (Direct)

Footnotes (1)

1. F1. 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.

Key Figures

RSU grant size: 1,166 shares Grant price per share: $0.0000 per share Post-grant holdings: 165,529 shares +1 more

4 metrics

RSU grant size 1,166 shares Restricted Stock Units granted to director on June 9, 2026

Grant price per share $0.0000 per share Compensation grant, no cash paid

Post-grant holdings 165,529 shares Total common shares held directly after RSU award

Vesting schedule 1/12 monthly installments Vesting begins July 5, 2026 until all 1,166 RSUs vest

Key Terms

Restricted Stock Units (RSUs), 2026 Equity Incentive Plan, vesting

3 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."

vesting 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."

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

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

What insider transaction did AAOI director Richard B. Black report?

Richard B. Black reported receiving a grant of 1,166 shares of Applied Optoelectronics common stock in the form of Restricted Stock Units. The award is compensation-based with no cash purchase price and was made under the company’s 2026 Equity Incentive Plan.

How many AAOI shares does Richard B. Black hold after this RSU grant?

After the RSU grant, Richard B. Black directly holds 165,529 shares of Applied Optoelectronics common stock. This figure includes the 1,166 shares granted as Restricted Stock Units reported in this filing, reflecting his updated post-transaction equity position.

What are the vesting terms of Richard B. Black’s 1,166 AAOI RSUs?

The 1,166 Restricted Stock Units vest in 12 equal monthly installments. Specifically, 1/12 of the total RSUs will vest on the same day each month beginning July 5, 2026, continuing monthly until all awarded shares have fully vested.

Under which plan were the AAOI RSUs granted to Richard B. Black?

The RSUs were granted under Applied Optoelectronics’ 2026 Equity Incentive Plan. This plan provides equity-based compensation, and in this case, the grant consists of 1,166 Restricted Stock Units that vest monthly over a one-year period beginning July 5, 2026.

Did Richard B. Black pay cash for the 1,166 AAOI RSUs granted?

No cash was paid for the RSUs; the transaction price per share is reported as 0.0000. The 1,166 shares were issued as a compensation grant in the form of Restricted Stock Units under the company’s 2026 Equity Incentive Plan.

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

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Accepted by SEC EDGAR 06/11/2026 - 05:25 PM 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^*

BLACK RICHARD B

(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)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $.001 par value	06/09/2026		A		1,166(1)	A	$0.00	165,529	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 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 Richard B. Black	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)