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Applied Optoelectronics CEO reports RSU tax withholding, 1,644,390 held

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Applied Optoelectronics (AAOI) President and CEO, Chih-Hsiang (Thompson) Lin, reported Form 4 transactions on 10/22/2025 reflecting shares withheld to cover taxes upon RSU vesting (transaction code F).

Shares surrendered at a price of $33.4 were: 5,491 (grant 6/27/2022), 8,753 (grant 6/26/2023), 2,332 (grant 4/29/2024), and 2,524 (grant 4/11/2025). Following these entries, Lin’s direct beneficial ownership stands at 1,644,390 shares.

Positive

  • None.

Negative

  • None.
Insider Lin Chih-Hsiang (Thompson)
Role President and CEO
Type Security Shares Price Value
Tax Withholding Common Stock, $.001 par value 5,491 $33.40 $183K
Tax Withholding Common Stock, $.001 par value 8,753 $33.40 $292K
Tax Withholding Common Stock, $.001 par value 2,332 $33.40 $78K
Tax Withholding Common Stock, $.001 par value 2,524 $33.40 $84K
Holdings After Transaction: Common Stock, $.001 par value — 1,657,999 shares (Direct)
Footnotes (1)
  1. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022. 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.
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Form 4 Insider Transactions: What Each Field Means →
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 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)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
10/22/2025
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 10/22/2025 F 5,491(1) D $33.4 1,657,999 D
Common Stock, $.001 par value 10/22/2025 F 8,753(2) D $33.4 1,649,246 D
Common Stock, $.001 par value 10/22/2025 F 2,332(3) D $33.4 1,646,914 D
Common Stock, $.001 par value 10/22/2025 F 2,524(4) D $33.4 1,644,390 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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
2. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
3. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
4. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin 10/24/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did AAOI’s CEO report on Form 4?

He reported share surrenders to the issuer to satisfy tax-withholding obligations upon RSU vesting on 10/22/2025 (code F transactions).

What is transaction code F on a Form 4?

Code F denotes shares withheld or delivered to the issuer to cover taxes upon the vesting of equity awards such as RSUs.

What are the CEO’s holdings after these transactions?

Direct beneficial ownership is reported as 1,644,390 AAOI shares after the last entry.

What roles does the reporting person hold at AAOI?

He is a Director and serves as President and CEO.

Who is the issuer and ticker for this filing?

The issuer is Applied Optoelectronics, Inc. with ticker AAOI.