[Form 4] Applied Optoelectronics, Inc. Insider Trading Activity

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. (AAOI) Form 4 shows that Min-Chu (Mike) Chen, a company director, was party to equity transactions on 08/13/2025. The filing reports purchases totaling 7,500 shares of the company’s common stock at a weighted-average price of $22.91, with execution prices ranging from $22.50 to $23.20. The form also discloses that 22,500 shares are held directly by Chen’s spouse, Yuh‑Mei Chung, and Chen disclaims beneficial ownership of those shares except for any indirect pecuniary interest. The form is signed by David C. Kuo as attorney in fact on 08/14/2025.

Positive

• Director purchase disclosed: Reporting person purchased 7,500 shares at a weighted-average price of $22.91, a clear and precise disclosure of insider buying.
• Complete explanatory notes: Form provides price range ($22.50 to $23.20) and commits to furnish per-trade details on request, improving transparency.
• Spousal holdings disclosed: 22,500 shares held by spouse Yuh‑Mei Chung are explicitly reported, clarifying indirect ownership.

Negative

• None.

Insights

Securities Analyst

TL;DR: Director purchased 7,500 AAOI shares at a ~$22.91 weighted-average price; spouse holds 22,500 shares.

The Form 4 documents a small-scale open-market purchase by a company director, indicating personal capital deployment into AAOI equity. The filing specifies the weighted-average price and the per-trade price range, which helps verify execution levels. Disclosure that 22,500 shares are held by the reporting person’s spouse and the reporters disclaimer of beneficial ownership for those shares is clearly stated and follows standard reporting practice. The transaction size appears modest relative to typical public-company float, suggesting limited direct market impact but relevant as insider activity.

Corporate Governance Expert

TL;DR: Insider transaction properly disclosed; spouse holdings and disclaimer are explicitly recorded.

The Form 4 includes required details: reporting person identity, relationship (Director), transaction date, transaction code, share amount, weighted-average price, and explanatory notes about price ranges and spousal ownership. Signature by an attorney in fact is present with a filing date. From a governance and disclosure perspective, the form contains the expected information and clarifies the reporters indirect interest via spouse holdings, which reduces ambiguity about beneficial ownership disclosures.

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
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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 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
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
08/13/2025

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								177,335	D
Common Stock, $.001 par value	08/13/2025		P		7,500(1)	A	$22.91	22,500(2)	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These shares were purchased in multiple transactions on August 13, 2025, at prices ranging from $22.50 to $23.20 per share. The price reported reflects the weighted average purchase price for the transactions. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

2. 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	08/14/2025
	** 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.

FAQ

What insider activity did AAOI director Min-Chu (Mike) Chen report on Form 4?

The director reported purchasing 7,500 shares of AAOI common stock on 08/13/2025 at a weighted-average price of $22.91.

What price range did the Form 4 disclose for the AAOI share purchases?

The filing states the shares were purchased at prices ranging from $22.50 to $23.20, with the reported price reflecting a weighted average.

Does Min-Chu (Mike) Chen have other AAOI shares through family members?

Yes. The Form 4 discloses that 22,500 shares are held directly by his spouse, Yuh‑Mei Chung, and Chen disclaims beneficial ownership of those shares except for any indirect pecuniary interest.

Who signed the Form 4 and when was it signed?

The Form 4 is signed by David C. Kuo, attorney in fact for Min-Chu (Mike) Chen on 08/14/2025.

What is the reporting person’s role at Applied Optoelectronics?

The Form indicates the reporting person, Min-Chu (Mike) Chen, is a Director of Applied Optoelectronics, Inc.