Applied Optoelectronics (AAOI): Jane Street reports 1.95M-share, 2.4% ownership stake

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. is reported to have 1,952,757 shares of its common stock beneficially owned by Jane Street Group, LLC and related affiliates under a Schedule 13G/A (Amendment No. 1). This represents 2.4% of the outstanding common stock. All of these shares are reported with shared voting and dispositive power, and none with sole voting or dispositive power. The filing lists Jane Street Capital, LLC, Jane Street Options, LLC, Jane Street Global Trading, LLC and Jane Street Singapore Pte. Limited as subsidiaries involved in the reported ownership.

Key Figures

Beneficial ownership shares: 1,952,757 shares Percent of class owned: 2.4% Shared voting power: 1,952,757 shares +2 more

5 metrics

Beneficial ownership shares 1,952,757 shares Shares of Applied Optoelectronics common stock beneficially owned by Jane Street entities

Percent of class owned 2.4% Percentage of Applied Optoelectronics common stock beneficially owned

Shared voting power 1,952,757 shares Shares over which Jane Street entities have shared power to vote or direct the vote

Sole voting power 0 shares Shares over which Jane Street entities have sole power to vote or direct the vote

Shared dispositive power 1,952,757 shares Shares over which Jane Street entities have shared power to dispose or direct disposition

Key Terms

beneficially owned, shared voting power, shared dispositive power, parent holding company, +1 more

5 terms

beneficially owned financial

"Item 4. | Ownership (a) | Amount beneficially owned: 1,952,757.00"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

shared voting power financial

"Shared Voting Power 1,952,757.00"

Shared voting power occurs when two or more parties jointly have the right to vote or decide how a block of company shares is cast, like co-owners who must agree before moving a piece of furniture. Investors care because who controls voting rights affects board elections, major corporate decisions and takeover outcomes, and shared control can alter regulatory disclosures and the practical influence any holder has over a company’s direction and value.

shared dispositive power financial

"Shared Dispositive Power 1,952,757.00"

parent holding company financial

"If a parent holding company has filed this schedule, pursuant to (ii)(G)"

percent of class financial

"Percent of class: 2.4%"

Percent of class is the portion of a specific category of securities—such as a company’s common shares, preferred shares, or a bond series—that takes part in or approves a corporate action (vote, consent, tender, etc.). Investors watch this number because it reveals how much support or opposition exists within that particular shareholder group; like counting how many members of a club back a proposal, it can determine whether a plan passes or how influence is distributed.

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

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Available on EDGAR 08/10/2026 - 04:08 PM Accepted by SEC EDGAR 08/10/2026 - 04:07 PM Learn about SEC filing dates

FAQ

What ownership stake in AAOI does Jane Street report in this Schedule 13G/A?

Jane Street and its affiliates report 1,952,757 shares of Applied Optoelectronics common stock, representing 2.4% of the class. All of these shares are held with shared voting and shared dispositive power, with no sole voting or dispositive authority reported.

Which Jane Street entities are included in the AAOI Schedule 13G/A filing?

The filing lists Jane Street Group, LLC as the parent and Jane Street Capital, LLC, Jane Street Options, LLC, Jane Street Global Trading, LLC, and Jane Street Singapore Pte. Limited as subsidiaries that acquired or hold the Applied Optoelectronics shares.

What percentage of AAOI’s common stock is beneficially owned by Jane Street?

Jane Street reports beneficial ownership of 2.4% of Applied Optoelectronics’ common stock. This percentage is based on 1,952,757 shares with shared voting and dispositive power, and reflects ownership of 5 percent or less of the class.

Does Jane Street report sole or shared voting power over AAOI shares?

Jane Street reports 0 shares with sole voting power and 1,952,757 shares with shared voting power in Applied Optoelectronics. The same share count applies to shared dispositive power, indicating decisions are made jointly among the reporting entities.

What does Item 5 mean when stating ownership of 5 percent or less of AAOI?

Item 5 confirms that Jane Street’s reported position in Applied Optoelectronics is 5 percent or less of the outstanding common stock. This is consistent with the disclosed 2.4% beneficial ownership percentage in the Schedule 13G/A amendment.

Who signed the AAOI Schedule 13G/A on behalf of Jane Street entities?

The filing is signed by Jeremy Kahn as Authorized Signatory for each Jane Street entity. Multiple signatures dated 08/10/2026 appear, one for each reporting person listed in the Schedule 13G/A amendment.

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 1)

APPLIED OPTOELECTRONICS, INC.

(Name of Issuer)

Common Stock, Par value $0.001

(Title of Class of Securities)

03823U102

(CUSIP Number)

06/30/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

JANE STREET GROUP, LLC

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 1,952,757.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 1,952,757.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

1,952,757.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

2.4 %

12

Type of Reporting Person (See Instructions)

HC

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

Jane Street Capital, LLC

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 1,951,335.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 1,951,335.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

1,951,335.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

2.4 %

12

Type of Reporting Person (See Instructions)

BD

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

Jane Street Options, LLC

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

0.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

0.0 %

12

Type of Reporting Person (See Instructions)

BD

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

Jane Street Global Trading, LLC

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 1,194.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 1,194.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

1,194.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

0.0 %

12

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13G

CUSIP Number(s): 03823U102

1

Names of Reporting Persons

Jane Street Singapore Pte. Ltd

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

SINGAPORE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 228.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 228.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

228.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

0.0 %

12

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13G

Item 1.
(a)	Name of issuer: APPLIED OPTOELECTRONICS, INC.
(b)	Address of issuer's principal executive offices: 13139 JESS PIRTLE BLVD, 13139 JESS PIRTLE BLVD, SUGAR LAND, TEXAS, 77478.
Item 2.
(a)	Name of person filing: Jane Street Group, LLC; Jane Street Options, LLC; Jane Street Capital, LLC; Jane Street Global Trading, LLC; Jane Street Singapore Pte. Limited
(b)	Address or principal business office or, if none, residence: Jane Street Group, LLC 250 Vesey Street 3rd Floor New York, NY 10281 Jane Street Capital, LLC 250 Vesey Street 3rd Floor New York, NY 10281 Jane Street Options, LLC 250 Vesey Street 3rd Floor New York, NY 10281 Jane Street Global Trading, LLC 250 Vesey Street 3rd Floor New York, NY 10281 Jane Street Singapore Pte. Limited 2 Central Boulevard, #43-01 IOI Central Boulevard Towers (West Tower) 018916, Singapore
(c)	Citizenship: See Item 4 of Cover Page
(d)	Title of class of securities: Common Stock, Par value $0.001
(e)	CUSIP No.: 03823U102
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: 1,952,757.00
(b)	Percent of class: 2.4%
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: 0
	(ii) Shared power to vote or to direct the vote: 1,952,757.00
	(iii) Sole power to dispose or to direct the disposition of: 0
	(iv) Shared power to dispose or to direct the disposition of: 1,952,757.00
Item 5.	Ownership of 5 Percent or Less of a Class.
	Ownership of 5 percent or less of a class
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary. Subsidiary Jane Street Capital, LLC Jane Street Options, LLC Jane Street Global Trading, LLC Jane Street Singapore Pte. Limited;
Item 8.	Identification and Classification of Members of the Group.
	Not Applicable
Item 9.	Notice of Dissolution of Group.
	Not Applicable

Item 10.

Certifications:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

JANE STREET GROUP, LLC

Signature:	/s/ Jeremy Kahn
Name/Title:	Jeremy Kahn (Authorized Signatory)
Date:	08/10/2026

Jane Street Capital, LLC

Signature:	/s/ Jeremy Kahn
Name/Title:	Jeremy Kahn (Authorized Signatory)
Date:	08/10/2026

Jane Street Options, LLC

Signature:	/s/ Jeremy Kahn
Name/Title:	Jeremy Kahn (Authorized Signatory)
Date:	08/10/2026

Jane Street Global Trading, LLC

Signature:	/s/ Jeremy Kahn
Name/Title:	Jeremy Kahn (Authorized Signatory)
Date:	08/10/2026

Jane Street Singapore Pte. Ltd

Signature:	/s/ Jeremy Kahn
Name/Title:	Jeremy Kahn (Authorized Signatory)
Date:	08/10/2026