Lin Chih-Hsiang (Thompson) 4

4 · APPLIED OPTOELECTRONICS, INC. · Filed Jun 16, 2026

AI-generated summary of this filing

Updated Jun 16, 2026

Applied Optoelectronics (AAOI) CEO Chih‑Hsiang Lin Sells Shares

What Happened

Chih‑Hsiang Lin, President, CEO and Director of Applied Optoelectronics, reported dispositions on June 12, 2026. He had 86,655 shares withheld to satisfy tax withholding related to an option exercise (86,655 @ $172.78, ~$14.97M) and sold 59,000 shares in open-market transactions (weighted avg $166.53, ~$9.83M). Combined disposals total 145,655 shares for about $24.8 million.
These were disposals (sales/withholding), not purchases — a common way insiders cover tax obligations after exercising options and to liquidate holdings.

Key Details

Transaction dates & prices: June 12, 2026. Tax-withheld shares: 86,655 @ $172.78 ($14,972,251). Open-market sale: 59,000 @ weighted average $166.53 ($9,825,270). Footnote indicates open-market sale prices ranged $163.78–$171.80 per share.
Shares owned after transaction: not specified in the filing.
Notable footnotes:
- F1: The 86,655 shares were withheld to satisfy tax withholding obligations.
- F2: The 59,000-share sale occurred in multiple transactions; the filing reports a weighted average price and will provide per-transaction details upon request.
- F3: Some securities are indirectly held in an irrevocable Family Trust via an LLC for the benefit of heirs; the reporting person disclaims beneficial ownership except to the extent of voting power.
Filing timing: Form 4 was filed June 16, 2026 for trades on June 12, 2026 (filed four days after the trades). Form 4s are generally due within two business days of a transaction, so this filing was later than the typical 2-business-day window.

Context

The withheld shares indicate a cashless element of an option exercise (shares withheld to cover taxes) rather than an additional cash purchase by the insider.
Open-market sales can be routine liquidity events and do not, by themselves, indicate the insider’s view on company prospects.

Form 4

Period: 2026-06-12

DirectorPresident and CEO

Transactions

Tax Payment
Common Stock, $.001 par value
[F1]
2026-06-12$172.78/sh−86,655$14,972,251→ 1,361,436 total
Sale
Common Stock, $.001 par value
[F2]
2026-06-12$166.53/sh−59,000$9,825,270→ 1,302,436 total

Holdings

Footnotes (3)

[F1]Consists of shares withheld to satisfy applicable tax withholding obligations.
[F2]The shares were sold in multiple transactions on June 12, 2026, at sale prices ranging from $163.78 to $171.8 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.
[F3]The securities indirectly held in the Family Trust through the ownership of interests in the LLC are for the benefit of the reporting person's heirs. The reporting person is the settlor of the irrevocable Family Trust, where The Bryn Mawr Trust Company of Delaware serves as trustee which may be replaced at the discretion of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of his voting power therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Signature

/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin|2026-06-16

1 file