APPLIED OPTOELECTRONICS, INC.
For the period ended Mar 31, 2026. Filed May 7, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2026 · Filed May 7, 2026
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Item 5. Other Information
(a)None
(b)None
(c) The adoption or termination of contracts, instructions or written plans for the purchase or sale of our securities by our Section16 officers and directors for thethree months ended* March 31, 2026,each of which is intended to satisfy the affirmative defense conditions of Rule10b5*-1(c) under the Exchange Act ("Rule10b5-1"), were as follows:
| Name | Title | Action | Date Adopted | Expiration Date | Aggregate # of Securities to be Purchased/Sold |
|---|---|---|---|---|---|
| Hung-Lun (Fred) Chang(1) | SVP/North America General Manager | Adoption | March 18, 2026 | March 1, 2027 | 55,329 |
| Shu-Hua (Joshua) Yeh(2) | SVP/Asia General Manager | Adoption | March 19, 2026 | June 18, 2027 | 72,000 |
(1)Hung-Lun (Fred) Chang, our Senior Vice President and North America General Manager, entered into a Rule10b5-1 Plan on* March 18, 2026.Dr. Chang's plan provides for the potential sale of up to55,329* shares of the Company's common stock. The plan is set to expire on* March 1, 2027,*or upon the earlier completion of all authorized transactions under the plan.
(2)Shu-Hua (Joshua) Yeh, our Senior Vice President and Asia General Manager, entered into a Rule10b5-1 Plan on* March 19, 2026.Mr. Yeh's plan provides for the potential sale of up to72,000* shares of the Company's common stock. The plan is set to expire on* June 18, 2027,*or upon the earlier completion of all authorized transactions under the plan.
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