SEC Form 4 · accession 0001683168-26-007214
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Black
Director
Period of report
Sep 15, 2026
Accepted (ET)
Sep 17, 2026 · 4:08 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 value | Sep 15, 2026 | G | 2,200 | $0.00 | D | 159,092 | I | By Trust |
| Common Stock, $.001 par value | holding | — | — | — | 4,237 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a bona fide gift of shares to a 501(c)(3) non-profit organization by The Richard B. Black Revocable Trust U/A Dtd. Aug 31, 1998; Richard B. Black TTEE. The shares were held by the Reporting Person in a revocable living trust of which the Reporting Person is the sole trustee and beneficial owner.