APPLIED OPTOELECTRONICS, INC. 4

Yeh Shu-Hua (Joshua), SVP and Asia GM of Applied Optoelectronics, Inc., sold 1,285 AAOI shares in the open market and surrendered 4,709 shares for RSU tax withholding, leaving him with 388,213 shares owned directly.

On July 21, 2026, Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager of Applied Optoelectronics, Inc. (AAOI), sold 1,285 shares of common stock for a weighted average price of approximately $120.02 per share under a Rule 10b5-1 trading plan, for proceeds of about $154,700. On July 22, 2026, he surrendered a total of 4,709 shares (in four tranches of 2,553, 609, 861, and 686 shares) at an implied price of $119.26 per share to the issuer solely to cover tax-withholding obligations upon the vesting of previously granted RSU awards, which is treated as a disposition to the issuer rather than an open-market sale and totals roughly $561,600 in value. Following these transactions, he directly owned 388,213 shares of AAOI common stock, worth an estimated $46.3 million based on the prevailing transaction prices, indicating that the activity consists of a modest planned sale plus routine tax-withholding dispositions while retaining a substantial equity stake.

Filing Facts

CIK

1158114

Ticker

AAOI

Form

4

Source Type

sec

Accession

0001683168-26-005736

Alert Tier

8