Form 4: AAOI Director Amends Ownership Report After Share Gift

Sentiment:

Amendment to Form 4 (Statement of Changes in Beneficial Ownership) 5 January 2026 4:36 PM

📋All filings for Applied Optoelectronics, INC

Applied Optoelectronics Director Richard B. Black filed an amended Form 4 to reflect a gift of 1,900 common shares to a non-profit organization.

Delay expectedThe transaction occurred on August 22, 2025, but the amendment to correctly report the beneficial ownership was filed on January 5, 2026, indicating a delay in accurate reporting of the post-transaction ownership.

Summary

Richard B. Black, a Director of Applied Optoelectronics, Inc. (AAOI), filed an amendment to his Statement of Changes in Beneficial Ownership (Form 4).
The amendment clarifies a transaction that occurred on August 22, 2025.
The transaction involved a bona fide gift of 1,900 shares of AAOI common stock to a 501(c)(3) non-profit organization.
The shares were held by The Richard B. Black Revocable Trust, of which Mr. Black is the sole trustee and beneficial owner.
Following this transaction, Mr. Black's reported beneficial ownership is 168,194 shares.
The amendment's effect is to deduct these 1,900 shares from the total beneficially owned reported on November 26, 2025, correcting previous reporting.

Sentiment

Score: 5

Explanation: The filing reports a director's gift of a small number of shares and an amendment to correct beneficial ownership. This is a routine insider transaction and a procedural correction, neither significantly positive nor negative for the company's financial prospects.

Positives

Demonstrates philanthropic activity by a company director.

Negatives

A slight reduction in the director's direct beneficial ownership of company stock, though the amount is minimal relative to total holdings.

Future Outlook

Industry Context

Stakeholder Impact

Shareholders: Minimal impact due to the small number of shares involved and the nature of the transaction (gift).
Non-profit organization: Positive impact from receiving the donated shares.

Key Dates

Date	Description
08/22/2025	Date of the bona fide gift of 1,900 common shares to a 501(c)(3) non-profit organization.
11/26/2025	Date on which 1,900 shares should be deducted from the total beneficially owned by the Reporting Person, as per the amendment.
01/05/2026	Date the amended Form 4 was signed and filed.

Recommendation

hold

This Form 4 filing is a routine disclosure of an insider transaction (a gift of shares) and an amendment to correct beneficial ownership. It does not provide new information regarding the company's operational performance, financial health, or strategic direction that would warrant a change in investment recommendation. Investors should maintain their current position based on broader company fundamentals and market conditions.

Keywords

Applied Optoelectronics, AAOI, Form 4, Insider Trading, Beneficial Ownership, Director, Share Gift, Equity Transaction, SEC Filing, Richard B. Black

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