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

Applied Optoelectronics CEO Reports 18,600-Share Purchases on Form 4

Filing Impact
(High)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Insider purchases reported for Applied Optoelectronics, Inc. (AAOI). Lin Chih-Hsiang (Thompson) Lin, listed as President, CEO and a director, reported purchases on August 12 and 13, 2025 totaling 18,600 shares of AAOI common stock.

The transactions consist of 6,500 shares bought through a 401(k) on 08/12/2025 at a weighted-average price of $23.14, 8,850 shares purchased on 08/13/2025 at a weighted-average price of $22.53 as direct acquisitions, and 3,250 shares bought through a 401(k) on 08/13/2025 at a weighted-average price of $22.65. The Form 4 was signed by an attorney-in-fact on 08/14/2025. Explanatory footnotes state the reported prices are weighted averages of multiple trades and that detailed per-trade prices are available on request.

Positive

  • Insider purchases totaling 18,600 shares by the company President and CEO were reported, indicating direct buying activity.
  • Transactions disclosed with weighted-average prices ($23.14, $22.53, $22.65) and explanatory notes offering per-trade details on request.

Negative

  • None.

Insights

TL;DR: CEO and director executed modest purchases totaling 18,600 AAOI shares across two days; purchases recorded at ~$22.5–$23.1.

The filing shows non-derivative purchases by Lin Chih-Hsiang (Thompson) Lin on August 12–13, 2025, split between 401(k) routed transactions and direct acquisitions. Total shares acquired equal 18,600 with reported weighted-average prices of $23.14, $22.53 and $22.65. These are straightforward open-market purchases reported on Form 4; there are no option exercises, sales, or derivative transactions disclosed. The filing includes the standard explanatory note that prices reflect multiple trades and that detailed per-trade data can be provided on request.

TL;DR: Insider buying by the President/CEO is documented and compliant; transactions include 401(k) purchases and direct acquisitions.

The report identifies the reporting person as both an officer (President and CEO) and a director, and notes purchases executed through a 401(k) plan as well as direct purchases. The Form 4 appears properly completed with transaction codes and explanatory notes and is signed by an attorney-in-fact. No amendments, dispositions, or other governance events are indicated in the filing.

Insider Lin Chih-Hsiang (Thompson)
Role President and CEO
Bought 18,600 shs ($423K)
Type Security Shares Price Value
Purchase Common Stock, $.001 par value 8,850 $22.53 $199K
Purchase Common Stock, $.001 par value 3,250 $22.65 $74K
Purchase Common Stock, $.001 par value 6,500 $23.14 $150K
Holdings After Transaction: Common Stock, $.001 par value — 1,652,165 shares (Direct); Common Stock, $.001 par value — 1,655,415 shares (Indirect, by 401(k))
Footnotes (1)
  1. These shares were purchased through 401(k) in multiple transactions on August 12, 2025 at prices ranging from $22.80 to $23.40 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. These shares were purchased in multiple transactions on August 13, 2025 at prices ranging from $22.13 to $22.99 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. These shares were purchased through 401(k) in multiple transaction on August 13, 2025 at prices ranging from $22.15 to $23.27 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
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)
08/12/2025
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 08/12/2025 P 6,500(1) A $23.14 1,643,315 I by 401(k)
Common Stock, $.001 par value 08/13/2025 P 8,850(2) A $22.53 1,652,165 D
Common Stock, $.001 par value 08/13/2025 P 3,250(3) A $22.65 1,655,415 I by 401(k)
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 through 401(k) in multiple transactions on August 12, 2025 at prices ranging from $22.80 to $23.40 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
2. These shares were purchased in multiple transactions on August 13, 2025 at prices ranging from $22.13 to $22.99 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
3. These shares were purchased through 401(k) in multiple transaction on August 13, 2025 at prices ranging from $22.15 to $23.27 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin 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.

Source: View Original Filing on SEC EDGAR

FAQ

Who filed the Form 4 for AAOI?

The Form 4 was filed on behalf of Lin Chih-Hsiang (Thompson) Lin, identified as President, CEO and a director.

How many AAOI shares were purchased and on what dates?

18,600 shares were purchased in total: 6,500 on 08/12/2025 and 12,100 on 08/13/2025 (8,850 direct and 3,250 via 401(k)).

What prices were paid for the AAOI shares in these transactions?

The filing reports weighted-average prices of $23.14, $22.53, and $22.65 for the respective transactions.

Were any derivative transactions reported in this Form 4 for AAOI?

No. Table II for derivatives shows no transactions; all reported transactions are non-derivative common stock purchases.

Was the Form 4 signed and dated?

Yes. The filing is signed by an attorney-in-fact, dated 08/14/2025.