SEC Form 4 · accession 0001683168-26-005948
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
Jul 31, 2026
Accepted (ET)
Aug 4, 2026 · 5:05 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 | Jul 31, 2026 | A | 9,251 | $0.00 | A | 1,296,047 | D | |
| Common Stock, $.001 par valueF2 | holding | — | — | — | 807,602 | I | By Thompson Lin Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Restricted Stock Units (RSUs) were granted under the Company's 2026 Equity Incentive Plan, one-sixteen of the RSUs vest every three months and the first vesting occurs on January 21, 2027.
- F2The 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.