SEC Form 4 · accession 0001683168-26-005736
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shu-Hua (Joshua) Yeh
Officer — *** See Remarks
Period of report
Jul 21, 2026
Accepted (ET)
Jul 23, 2026 · 5:11 pm EDT
Rule 10b5-1 plan
yes — trade under a plan
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 | Jul 21, 2026 | S | 1,285 | $120.02 | D | 392,922 | D | |
| Common Stock, $.001 par valueF2 | Jul 22, 2026 | F | 2,553 | $119.26 | D | 390,369 | D | |
| Common Stock, $.001 par valueF3 | Jul 22, 2026 | F | 609 | $119.26 | D | 389,760 | D | |
| Common Stock, $.001 par valueF4 | Jul 22, 2026 | F | 861 | $119.26 | D | 388,899 | D | |
| Common Stock, $.001 par valueF5 | Jul 22, 2026 | F | 686 | $119.26 | D | 388,213 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $120.00 to $120.08 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
- F2Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
- F3Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
- F4Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
- F5Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026
Remarks
Senior Vice President and Asia General Manager.