Form 4: AAOI Director Gifts 600 Shares to Non-Profit

Applied Optoelectronics Director Richard B. Black's trust gifted 600 shares of common stock to a 501(c)(3) non-profit organization.

Summary

• Richard B. Black, a Director and 10% Owner of Applied Optoelectronics, Inc. (AAOI), reported a transaction.
• The transaction involved a bona fide gift of 600 shares of AAOI common stock.
• The gift was made by The Richard B. Black Revocable Trust to a 501(c)(3) non-profit organization.
• The transaction date for the gift was November 26, 2025.
• Following this transaction, Richard B. Black beneficially owns 169,494 shares indirectly through the Trust.
• The shares were disposed of at a price of $0.00, consistent with a gift.
• Previously, on February 28, 2025, Richard B. Black contributed 4,121 shares to the same trust, changing the form of beneficial ownership from direct to indirect.

Sentiment

Score: 5

Explanation: The sentiment is neutral. A gift of a small number of shares by a director is a routine insider transaction and does not typically carry significant positive or negative implications for the company's financial performance or outlook.

Positives

• The gift to a 501(c)(3) non-profit organization demonstrates corporate social responsibility from a key insider.

Negatives

• A disposition of shares by an insider, even as a gift, slightly reduces the insider's direct stake in the company.

Future Outlook

This filing is an insider transaction report and does not contain forward-looking statements or guidance regarding the company's future performance.

Industry Context

This insider transaction is specific to an individual director's shareholdings and does not reflect broader industry trends or competitive dynamics within the optical networking or fiber optic components sector.

Stakeholder Impact

• Shareholders: A minor reduction in the total shares held by a key insider, though the amount is negligible relative to total outstanding shares.
• Non-profit organization: Receives a donation of shares, which can be converted to cash to support its mission.

Key Dates

Keywords

Applied Optoelectronics, AAOI, Richard B. Black, Insider Transaction, Form 4, Stock Gift, Director Ownership, Beneficial Ownership