APPLIED OPTOELECTRONICS, INC.
For the period ended Jun 30, 2026. Filed Aug 6, 2026.
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Jun 30, 2026 · Filed Aug 6, 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* June 30, 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 |
|---|---|---|---|---|---|
| Chih-Hsiang (Thompson) Lin (1) | President/CEO | Adoption | May 27, 2026 | December 31, 2027 | 80,000 |
| Chih-Hsiang (Thompson) Lin (2) | President/CEO | Adoption | May 28, 2026 | August 28, 2028 | 144,000 |
| (1) Chih-Hsiang (Thompson) Lin, our President and Chief Executive Officer, entered into a Rule 10b5-1 Plan on May 27, 2026. Dr. Lin’s plan provides for the potential sale of up to 80,000 shares of the Company's common stock. The plan is set to expire on December 31, 2027, or upon the earlier completion of all authorized transactions under the plan. | |||||
| (2) Chih-Hsiang (Thompson) Lin, our President and Chief Executive Officer, on behalf of Lin Family Investment Holdings, LLC (the sole member interest of which is held by Thompson Lin Family Trust), entered into a Rule 10b5-1 Plan on May 28, 2026. Lin Family Investment Holdings, LLC’s plan provides for the potential sale of up to 144,000 shares of the Company's common stock. The plan is set to expire on August 28, 2028, or upon the earlier completion of all authorized transactions under the plan. | |||||
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