Form 4: AAOI Executive's Routine Tax-Related Stock Transaction

An Applied Optoelectronics executive surrendered shares to cover tax obligations related to restricted stock unit vesting.

Summary

• Yeh Shu-Hua (Joshua), Senior Vice President and Asia General Manager of Applied Optoelectronics, Inc. (AAOI), reported transactions on October 22, 2025.
• The transactions involved the disposition of a total of 5,923 shares of Common Stock, $.001 par value, at a price of $33.4 per share.
• These dispositions were shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit awards.
• The vested restricted stock unit awards were granted on June 27, 2022 (1,898 shares), June 26, 2023 (2,553 shares), April 29, 2024 (610 shares), and April 11, 2025 (862 shares).
• Following these reported transactions, Yeh Shu-Hua (Joshua) beneficially owns 352,175 shares of Common Stock.

Sentiment

Score: 5

Explanation: The transaction is a routine tax-related event for restricted stock unit vesting and does not indicate a change in company fundamentals or executive sentiment.

Future Outlook

NA

Industry Context

NA

Stakeholder Impact

• Shareholders: Minimal direct impact as this is a routine, non-discretionary transaction for tax purposes, not a sale for personal liquidity.

Key Dates

Recommendation

This Form 4 reports a routine, non-discretionary transaction where an executive surrendered shares to cover tax obligations upon the vesting of restricted stock units. It does not reflect a discretionary sale or purchase by the insider and therefore provides no new fundamental information to alter an investment thesis. The stock's performance should be evaluated based on broader company financials and market conditions.

Keywords

Applied Optoelectronics, AAOI, Form 4, Insider Transaction, Restricted Stock Units, Tax Withholding, Executive Compensation