APPLIED OPTOELECTRONICS, INC.·4

May 19, 7:05 PM ET

Yeh Shu-Hua (Joshua) 4

4 · APPLIED OPTOELECTRONICS, INC. · Filed May 19, 2026

Research Summary

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Applied Optoelectronics SVP Yeh Shu‑Hua Receives Award, Sells Shares

What Happened
Yeh Shu‑Hua (Senior Vice President & Asia General Manager) received 192,170 shares on 2026-05-15 as a performance-vesting restricted stock unit (RSU) settlement (maximum performance). On 2026-05-19 she had 7,928 shares withheld to cover taxes at $190.36/share (value $1,509,174) and sold 39,154 shares in an open-market transaction at $173.26/share for proceeds of $6,783,822. The award is an acquisition (grant/settlement); the subsequent transactions are disposals (tax withholding and open-market sale), which are often routine following RSU vesting.

Key Details

  • Transaction dates and prices:
    • 2026-05-15: Award/settlement of 192,170 RSUs (F; $0.00 reported acquisition price, F1 = maximum performance payout).
    • 2026-05-19: 7,928 shares withheld for taxes at $190.36 (F; $1,509,174).
    • 2026-05-19: 39,154 shares sold in open market at $173.26 (S; $6,783,822).
  • Shares owned after transaction: Filing does not state total post-transaction company holdings. Based solely on this award and the reported dispositions, up to 145,088 shares from the award remain (192,170 − 47,082), but the filing does not confirm total ownership.
  • Notable footnotes:
    • F1: Shares were earned and settled as performance-vesting RSUs for the 2023–2026 period at maximum performance.
    • F2: Shares were withheld to satisfy tax withholding obligations.
  • Filing: Form 4 filed 2026-05-19 (reports the 5/15 award and 5/19 dispositions).

Context
This was a settlement of performance RSUs followed by tax withholding and an open-market sale of a portion of the shares—common steps when restricted awards vest. Such sales often reflect routine tax and liquidity management rather than a specific market view; purchases are generally more informative about insider sentiment.

Insider Transaction Report

Form 4
Period: 2026-05-15
Yeh Shu-Hua (Joshua)
*** See Remarks
Transactions
  • Award

    Common Stock, $.001 par value

    [F1]
    2026-05-15+192,170509,512 total
  • Tax Payment

    Common Stock, $.001 par value

    [F2]
    2026-05-19$190.36/sh7,928$1,509,174501,584 total
  • Sale

    Common Stock, $.001 par value

    2026-05-19$173.26/sh39,154$6,783,822462,430 total
Footnotes (2)
  • [F1]Consists of shares earned in settlement of performance vesting restricted stock units for the 2023-2026 performance period that were earned and settled with respect to maximum performance.
  • [F2]Consists of shares withheld to satisfy applicable tax withholding obligations.
Signature
/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh|2026-05-19

Documents

1 file
  • 4
    ownership.xmlPrimary