Shu-Hua (joshua) Yeh - 09 Mar 2026 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role: Officer
Signature: /s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh
Issuer symbol: AAOI
Transactions as of: 09 Mar 2026
Net transactions value: -$4,854,880
Form type: 4
Filing time: 10 Mar 2026, 16:43:52 UTC
Previous filing: 11 Feb 2026
SEC: View on sec.gov

Reporting Owners (1)

Name	Relationship	Address	Signature	Signature date	CIK
Yeh Shu-Hua (Joshua)	Officer	C/O APPLIED OPTOELECTRONICS, INC., 13139 JESS PIRTLE BLVD., SUGAR LAND	/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh	10 Mar 2026	0001587600

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AAOI	Common Stock, $.001 par value	Sale	$4,854,880	-50,000	-13%	$97.10	322,051	09 Mar 2026	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id	Content
F1	These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 9, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $94.670 to $99.332 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.

Content

These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 9, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $94.670 to $99.332 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.