Chen Min-Chu (Mike) 4

4 · APPLIED OPTOELECTRONICS, INC. · Filed Mar 10, 2026

AI-generated summary of this filing

Updated Mar 11, 2026

Applied Optoelectronics (AAOI) Director Mike Chen Sells 11,335 Shares

What Happened

Director Min-Chu (Mike) Chen sold a total of 11,335 AAOI shares in two open-market transactions: 2,500 shares on 2026-03-06 at $97.00 ($242,500) and 8,835 shares on 2026-03-09 at a weighted average price of $108.72 ($960,516). Total proceeds ≈ $1,203,016. These were sales (not purchases), which are often routine insider liquidity events and do not by themselves indicate company performance.

Key Details

Transaction dates & prices:
- 2026-03-06: 2,500 shares @ $97.00 = $242,500
- 2026-03-09: 8,835 shares @ weighted avg $108.72 = $960,516 (actual trade prices ranged $105.50–$110.20; weighted average reported)
Shares owned after transaction: Not specified in the filing.
Footnotes:
- F1: Some shares are held directly by Yuh‑Mei Chung (Mr. Chen’s spouse); Mr. Chen disclaims beneficial ownership of spouse‑held shares except for any indirect pecuniary interest.
- F2: The Mar 9 sale was executed in multiple trades at prices from $105.50 to $110.20; $108.72 is the weighted average and the reporting person will provide full trade details upon request.
Filing timeliness: Form 4 was filed 2026-03-10 for transactions on 2026-03-06 and 2026-03-09; the filing appears to be timely under the two-business-day reporting rule.

Context

These were open‑market sales (insider code S). Sales are common for liquidity or portfolio reasons; they are factual disclosures and do not necessarily signal company guidance or insider sentiment.

Form 4

Period: 2026-03-06

Director

Transactions

Sale
Common Stock, $.001 par value
[F1]
2026-03-06$97.00/sh−2,500$242,500→ 20,000 total(indirect: By Spouse)
Sale
Common Stock, $.001 par value
[F2]
2026-03-09$108.72/sh−8,835$960,516→ 169,300 total

Footnotes (2)

[F1]Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein
[F2]The shares were sold in multiple transactions at actual sale prices ranging from $105.50 to $110.20 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the transaction.

Signature

/s/ David C. Kuo, attorney in fact for Min-Chu (Mike) Chen|2026-03-10

1 file