SEC Form 4 · accession 0001683168-26-004880
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chih-Hsiang (Thompson) Lin
Officer — President and CEO · Director
Period of report
Jun 12, 2026
Accepted (ET)
Jun 16, 2026 · 4:51 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001158114
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.001 par valueF1 | Jun 12, 2026 | F | 86,655 | $172.78 | D | 1,361,436 | D | |
| Common Stock, $.001 par valueF2 | Jun 12, 2026 | S | 59,000 | $166.53 | D | 1,302,436 | D | |
| Common Stock, $.001 par valueF3 | holding | — | — | — | 807,602 | I | By Thompson Lin Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of shares withheld to satisfy applicable tax withholding obligations.
- F2The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 per share. The price reported reflects the weighted average sale price 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 sold during each transaction.
- F3The securities indirectly held in the Family Trust through the ownership of interests in the LLC are for the benefit of the reporting person's heirs. The reporting person is the settlor of the irrevocable Family Trust, where The Bryn Mawr Trust Company of Delaware serves as trustee which may be replaced at the discretion of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of his voting power therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.