Chih-Hsiang (thompson) Lin - 28 May 2026 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Reporting relationship: President and CEO, Director
Issuer ticker: AAOI
Reported as of: 28 May 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 01 Jun 2026, 17:00:47 UTC
Prior SEC filing: 19 May 2026
Next SEC filing: 16 Jun 2026
Source filing: View source filing
Reporting owner signature: /s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin

Key filing fact

Chih-Hsiang (thompson) Lin filed Form 4 for APPLIED OPTOELECTRONICS, INC. (AAOI) on 01 Jun 2026.

Key facts

This page summarizes Chih-Hsiang (thompson) Lin's Form 4 filing for APPLIED OPTOELECTRONICS, INC. (AAOI).
4 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 01 Jun 2026, 17:00.

Change

Previous filing in this sequence was filed on 19 May 2026.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001587420 Primary reporting owner

Lin Chih-Hsiang (Thompson)

Relationship: President and CEO, Director
Address: C/O APPLIED OPTOELECTRONICS, INC., 13139 JESS PIRTLE BLVD., SUGAR LAND
Signature: /s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin
Signature date: 01 Jun 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AAOI transaction

Common Stock, $.001 par value

Gift

Transaction value
Shares: -85,790
Change %: -9.6%
Price: $0.000000^*
Shares after: 807,602
Date: 28 May 2026
Ownership: By Lin Family Investment Holdings LLC
Footnotes: F2

AAOI transaction

Common Stock, $.001 par value

Gift

Transaction value
Shares: +85,790
Change %
Price: $0.000000^*
Shares after: 85,790
Date: 28 May 2026
Ownership: By Thompson Lin Family Trust
Footnotes: F2, F4

AAOI transaction

Common Stock, $.001 par value

Other

Transaction value
Shares: -721,812
Change %: -47%
Price
Shares after: 807,602
Date: 28 May 2026
Ownership: By Lin Family Investment Holdings LLC
Footnotes: F3

AAOI transaction

Common Stock, $.001 par value

Other

Transaction value
Shares: +721,812
Change %: +841%
Price
Shares after: 807,602
Date: 28 May 2026
Ownership: By Thompson Lin Family Trust
Footnotes: F3, F4

AAOI holding

Common Stock, $.001 par value

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 807,602
Date: 28 May 2026
Ownership: By Lin Family Investment Holdings LLC
Footnotes: F1

AAOI holding

Common Stock, $.001 par value

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 1,448,091
Date: 28 May 2026
Ownership: Direct

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

On May 26, 2026, the reporting person contributed 807,602 directly owned shares of Applied Optoelectronics, Inc. (the "Company")'s common stock to Lin Family Investment Holdings LLC, a Delaware limited liability company (the "LLC"). The reporting person serves as the sole member and the sole manager of the LLC and owned all of the outstanding LLC membership interests directly. In his capacity as the manager of the LLC, he has the sole power to vote and direct the disposition of the shares. Such contribution was exempt from reporting by virtue of Rule 16a-13 because it merely changed the form of beneficial ownership from direct to indirect without affecting the reporting person's pecuniary interest in the shares.

Footnote F2

The reported transaction reflects the gift of a portion of the reporting person's membership interest in the LLC, valued at $15 million, as determined by utilizing the average of the high and low per share trading price on the date of the gift (the per share price on the date of the gift, May 28, 2026, was $174.845 and the number of shares was 85,790.27), from the reporting person into an irrevocable trust for the benefit of the reporting person's heirs for estate planning purposes. The LLC continues to hold the 807,602 shares of the Company's common stock, and continues to be managed by the reporting person as the sole manager. This transaction was a bona fide gift to The Thompson Lin Family Trust (the "Family Trust"), and therefore no consideration was paid for the shares. The reporting person disclaims beneficial ownership of these securities except to the extent of his voting power therein.

Footnote F3

The reported transaction reflects the transfer of a certain portion of the reporting person's membership interest in the LLC from the reporting person to the Family Trust, in exchange for a promissory note in the principal amount of $126,205,171.69, representing the fair market value of the shares (represented by the portion of the LLC membership interest) as determined by utilizing the average of the high and low per share trading price on the date of the sale. The per share price on the date of the sale, May 28, 2026, was $174.845 and the number of shares sold was 721,811.73. The LLC continues to hold the 807,602 shares of the Company's common stock, and continues to be managed by the reporting person as the sole manager. The reporting person disclaims beneficial ownership of these securities except to the extent of his voting power therein.

Footnote F4

The 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.