What indirect AAOI share ownership is disclosed for Min-Chu Chen?

The filing discloses 20,000 AAOI common shares held indirectly by Chen’s spouse, Yuh-Mei Chung. Chen disclaims beneficial ownership of these securities, except to the extent of any indirect pecuniary interest he may have, clarifying the nature of his indirect economic exposure.

Applied Optoelectronics (NASDAQ: AAOI) director sells 8,247 shares

Filing Impact

(High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. director Min-Chu (Mike) Chen reported an open-market sale of 8,247 shares of common stock on 2026-06-02 at $201.0000 per share. After this sale, he holds 161,053 shares directly.

The filing also shows 20,000 shares held indirectly through his spouse, with Chen disclaiming beneficial ownership of those securities except for any indirect pecuniary interest.

Insider Trade Summary

Net Seller: 8,247 shares ($1,657,647)

Net Sell 2 txns

Insider Chen Min-Chu (Mike)

Role null

Sold 8,247 shs ($1.66M)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	8,247	$201.00	$1.66M
holding	Common Stock, $.001 par value	--	--	--

Holdings After Transaction: Common Stock, $.001 par value — 161,053 shares (Direct, null); Common Stock, $.001 par value — 20,000 shares (Indirect, By Spouse)

Footnotes (1)

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Key Figures

Shares sold: 8,247 shares Sale price: $201.0000 per share Direct holdings after sale: 161,053 shares +2 more

5 metrics

Shares sold 8,247 shares Open-market sale on June 2, 2026

Sale price $201.0000 per share Price for the 8,247-share sale

Direct holdings after sale 161,053 shares Common stock held directly after the transaction

Indirect spouse holdings 20,000 shares Common stock held by spouse with beneficial ownership disclaimed

Net shares sold 8,247 shares Net buy/sell shares for this Form 4

Key Terms

open-market sale, beneficial ownership, indirect pecuniary interest, indirect ownership

4 terms

open-market sale financial

"describes the action as a sale in open market or private transaction"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

beneficial ownership financial

"Mr. Chen disclaims beneficial ownership of all securities that may be deemed"

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.

indirect pecuniary interest financial

"except to the extent of any indirect pecuniary interest therein"

indirect ownership financial

"Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen"

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Form 4 Insider Transactions: What Each Field Means →

06/04/2026 - 04:12 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^*

Chen Min-Chu (Mike)

(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)
06/02/2026

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	06/02/2026		S		8,247	D	$201	161,053	D
Common Stock, $.001 par value								20,000⁽¹⁾	I	By Spouse

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. Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein

	/s/ David C. Kuo, attorney in fact for Min-Chu (Mike) Chen	06/04/2026
	** 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 insider transaction did AAOI director Min-Chu (Mike) Chen report?

AAOI director Min-Chu (Mike) Chen reported selling 8,247 shares of common stock in an open-market transaction. The sale occurred on June 2, 2026, at a reported price of $201.0000 per share, according to the Form 4 insider trading report.

At what price did AAOI shares sell in Min-Chu Chen’s Form 4 filing?

The Form 4 for AAOI shows Min-Chu (Mike) Chen sold 8,247 shares at $201.0000 per share. This reflects an open-market sale of common stock and provides investors insight into the pricing of this particular insider transaction on June 2, 2026.

How many AAOI shares does Min-Chu Chen hold after the reported sale?

After the reported transaction, Min-Chu (Mike) Chen directly holds 161,053 AAOI common shares. The Form 4 also notes an additional 20,000 shares held indirectly through his spouse, for which he disclaims beneficial ownership except for any indirect pecuniary interest.

Does the AAOI Form 4 show this as an open-market sale?

Yes. The AAOI Form 4 labels the 8,247-share transaction as an open-market sale. It uses transaction code “S” and describes the action as a sale in open market or private transaction, confirming it was a standard market disposition of common stock.