Applied Optoelectronics, Inc. President and CEO Chih-Hsiang (Thompson) Lin filed a Form 4 on October 26, 2026, disclosing four share-disposition transactions on October 22, 2026, all related to tax withholding upon the vesting of restricted stock units.

Key Highlights

  • Four "F" code transactions: Lin surrendered shares to the issuer on October 22, 2026, to satisfy tax-withholding obligations on four separate RSU vestings.
  • Total shares disposed: 16,673 shares of Common Stock, $.001 par value, were surrendered across the four transactions (9,331 + 2,486 + 2,691 + 2,165).
  • Price per share: All four dispositions were recorded at $77.32 per share, according to the filing.
  • Remaining direct ownership: Following the transactions, Lin directly held 1,279,374 shares of common stock.
  • Indirect holdings: Lin also indirectly holds 807,602 shares through the Thompson Lin Family Trust.
  • RSU grant dates: The four vestings traced to RSU awards granted on June 26, 2023; April 29, 2024; April 11, 2025; and February 9, 2026, according to the filing.

Applied Optoelectronics CEO Surrenders Shares Across Four RSU Vestings on October 22, 2026

According to the Form 4 filed with the SEC on October 26, 2026, Chih-Hsiang (Thompson) Lin, President and CEO of Applied Optoelectronics, Inc. (NASDAQ:AAOI), disposed of a combined 16,673 shares of common stock on October 22, 2026. All four transactions carry transaction code "F," which the filing's footnotes explain reflects shares surrendered to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit awards.

The filing identifies the specific RSU grant underlying each disposition. The largest block, 9,331 shares, was withheld in connection with an RSU award granted on June 26, 2023. The remaining three dispositions covered 2,486 shares (award granted April 29, 2024), 2,691 shares (award granted April 11, 2025), and 2,165 shares (award granted February 9, 2026). Each transaction was recorded at $77.32 per share. Following all four dispositions, Lin's direct beneficial ownership stood at 1,279,374 shares, the filing states.

The filing also discloses 807,602 shares held indirectly through the Thompson Lin Family Trust. According to the filing's footnote, the securities held in that trust are "for the benefit of the reporting person's heirs," with The Bryn Mawr Trust Company of Delaware serving as trustee. The footnote further states that "the reporting person disclaims beneficial ownership of these securities except to the extent of his voting power therein." The form was signed by David C. Kuo as attorney in fact for Chih-Hsiang (Thompson) Lin on October 26, 2026.

What Was Disclosed

Lin's Form 4 disclosed four tax-withholding share surrenders on October 22, 2026, totaling 16,673 shares of Applied Optoelectronics common stock at $77.32 per share, each tied to a separately dated RSU award, leaving direct ownership of 1,279,374 shares.