Form 4: Applied Optoelectronics Director Receives Equity Grant Under 2025 Compensation Plan

Min-Chu (Mike) Chen, a Director at Applied Optoelectronics, Inc., was granted 12,281 shares of common stock in the form of Restricted Stock Units as part of the company's 2025 Board Compensation Plan.

Summary

• Min-Chu (Mike) Chen, a Director of Applied Optoelectronics, Inc. (AAOI), reported an acquisition of common stock.
• On June 13, 2025, Mr. Chen was granted 12,281 shares of Common Stock, $.001 par value, at a price of $0.00 per share.
• These shares were granted as Restricted Stock Units (RSUs) under the company's 2025 Board Compensation Plan.
• The RSUs are scheduled to vest monthly, with 1/12th of the total shares vesting on the same day each month, commencing July 13, 2025, until fully vested.
• Following this transaction, Mr. Chen directly beneficially owns 177,335 shares of Common Stock.
• Additionally, 15,000 shares are indirectly held by his spouse, Yuh-Mei Chung, with Mr. Chen disclaiming beneficial ownership except to the extent of any indirect pecuniary interest.

Sentiment

Score: 5

Explanation: The document reports a routine equity grant to a director, which is a standard compensation practice and does not indicate significant positive or negative operational or financial news for the company.

Positives

• The grant of Restricted Stock Units (RSUs) to a director aligns management's interests with those of shareholders, as the value of the compensation is tied to the company's stock performance.
• This is a standard form of compensation for board members, indicating ongoing commitment and retention of key personnel.

Future Outlook

The document indicates a future vesting schedule for the granted Restricted Stock Units, with monthly vesting commencing on July 13, 2025, until all shares are vested.

Industry Context

The grant of Restricted Stock Units to a director is a common practice across various industries for executive and board compensation, aiming to align the interests of leadership with long-term shareholder value. This specific filing reflects a routine compensation event within the technology or optoelectronics sector.

Corporate Governance

Related Party Transactions

• The document discloses indirect beneficial ownership of 15,000 shares by Min-Chu (Mike) Chen's spouse, Yuh-Mei Chung. Mr. Chen disclaims beneficial ownership of these shares, except to the extent of any indirect pecuniary interest.

Stakeholder Impact

• Shareholders: The grant of RSUs represents a form of equity compensation that can lead to minor dilution over time as shares vest, but also serves to align the director's financial interests with long-term shareholder value.
• Employees: No direct impact mentioned.
• Customers: No direct impact mentioned.
• Suppliers: No direct impact mentioned.
• Creditors: No direct impact mentioned.

Next Steps

• Monthly vesting of the 12,281 Restricted Stock Units will commence on July 13, 2025, with 1/12th of the shares vesting each month.

Key Dates

Keywords

Applied Optoelectronics, AAOI, SEC Form 4, Insider Transaction, Restricted Stock Units, RSU, Director Compensation, Equity Grant, Beneficial Ownership