Yeh Shu-Hua (Joshua) 4
4 · APPLIED OPTOELECTRONICS, INC. · Filed Jul 23, 2026
Research Summary
AI-generated summary of this filing
Applied Optoelectronics (AAOI) SVP Yeh Shu‑Hua Sells Shares
What Happened
Yeh Shu‑Hua (Joshua), Senior Vice President and Asia General Manager of Applied Optoelectronics (AAOI), disposed of a total of 5,994 shares in transactions on July 21–22, 2026. On July 21 she sold 1,285 shares in an open‑market transaction at a weighted average ~ $120.02 per share for proceeds of $154,226 (sale executed under a Rule 10b5‑1 plan). On July 22 she surrendered 4,709 shares to the issuer to satisfy tax‑withholding obligations related to the vesting of restricted stock units (RSUs) at $119.26 per share, totaling $561,595. Combined proceeds/consideration for the reported disposals are about $715,821.
Key Details
- Transaction dates and prices: July 21 sale ~1,285 shares @ $120.00–$120.08 (reported weighted avg $120.02); July 22 RSU tax withholdings 2,553 / 609 / 861 / 686 shares @ $119.26 each (per footnotes).
- Shares disposed: 1,285 (open‑market sale) + 4,709 (RSU withholding) = 5,994 shares.
- Reported proceeds: ~ $154,226 (sale) + $561,595 (withholding) = ~$715,821 total.
- Notable footnotes: sale effected under a Rule 10b5‑1 trading plan adopted March 19, 2026; RSU withholdings correspond to grants dated June 26, 2023; April 29, 2024; April 11, 2025; and February 9, 2026.
- Shares owned after transaction: not provided in the excerpt of the filing.
- Filing timeliness: Form 4 filed July 23, 2026 for transactions on July 21–22, appearing timely (within the typical two business‑day filing window).
Context
The July 21 open‑market sale was pre‑arranged under a 10b5‑1 plan (routine automated selling). The July 22 actions were share‑surrenders to cover tax withholding on vested RSUs (a common administrative step and not the same as an open‑market trade for cash). These are disposals rather than purchases; they do not by themselves indicate insider confidence or a change in company outlook.
Insider Transaction Report
- Sale
Common Stock, $.001 par value
[F1]2026-07-21$120.02/sh−1,285$154,226→ 392,922 total - Tax Payment
Common Stock, $.001 par value
[F2]2026-07-22$119.26/sh−2,553$304,471→ 390,369 total - Tax Payment
Common Stock, $.001 par value
[F3]2026-07-22$119.26/sh−609$72,629→ 389,760 total - Tax Payment
Common Stock, $.001 par value
[F4]2026-07-22$119.26/sh−861$102,683→ 388,899 total - Tax Payment
Common Stock, $.001 par value
[F5]2026-07-22$119.26/sh−686$81,812→ 388,213 total
Footnotes (5)
- [F1]These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $120.00 to $120.08 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
- [F2]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
- [F3]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.
- [F4]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 11, 2025.
- [F5]Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 9, 2026