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Original filing (PDF)20251003181141NAL0001657249001
APPLIED OPTOELECTRONICS, INC.
Form 5500
FILING_RECEIVED
APPLIED OPTOELECTRONICS, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
368
Accounts w/ balance
524
Plan assets (EOY)
$40.5M
Net assets (EOY)
$40.5M
How this plan invests
This plan
1 pooled trust
Schedule D
38 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (2 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for APPLIED OPTOELECTRONICS, INC..
Plan sponsor
Name
APPLIED OPTOELECTRONICS, INC.
EIN
76-0533927
Address
13139 JESS PIRTLE BLVD. · SUGAR LAND, TX · 774782856
Phone
(281) 295-1888
Industry
All Other Professional Services· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-03
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
LANE GORMAN TRUBITT,LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsTPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ALLIANCE BENEFIT GROUP OF HOUSTON I | — | HOUSTON, TX | THIRD PARTY ADMINISTRATOR | $0 | — |
Other
4| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| VOYA RETIREMENT ADVISORS, LLC | 02-0488491 | — | SERVICE PROVIDER | $7K | — |
| CHARLES SCHWAB & CO., INC. | 94-1737782 | — | NONE | $41 | — |
| ONEDIGITAL INVESTMENT ADVISORS | 41-1451524 | — | SERVICE PROVIDER | $0 | — |
| VOYA RETIRE. INSURANCE & ANNUITY CO | 71-0294708 | — | SERVICE PROVIDER | $0 | — |
Investments
38 direct securities · 1 pooled fund· $39.3M(97% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$39.3M
38 holdings
Pooled Separate Account
$0
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Schwab | — | — | — | $7.1M | 17.5% | |
| MFS Investment Management | — | — | — | $3.6M | 8.9% | |
| The Vanguard Group | — | — | — | $3.2M | 7.9% | |
| The Vanguard Group | — | — | — | $3.1M | 7.6% | |
| The Vanguard Group | — | — | — | $2.4M | 5.9% | |
| The Vanguard Group | — | — | — | $2.4M | 5.8% | |
| The Vanguard Group | — | — | — | $2.2M | 5.4% | |
| The Vanguard Group | — | — | — | $1.6M | 4.0% | |
| JPMorgan Chase | — | — | — | $1.3M | 3.2% | |
| MassMutual | — | — | — | $1.2M | 2.8% | |
| Fidelity | — | — | — | $1.0M | 2.5% | |
| Fidelity | — | — | — | $1.0M | 2.5% | |
| The Vanguard Group | — | — | — | $946K | 2.3% | |
| Schwab Personal Choice Retirement Account | — | — | — | $895K | 2.2% | |
| MFS Investment Management | — | — | — | $846K | 2.1% | |
| Capital Group American Funds | — | — | — | $727K | 1.8% | |
| Fidelity | — | — | — | $652K | 1.6% | |
| The Vanguard Group | — | — | — | $615K | 1.5% | |
| Capital Group American Funds | — | — | — | $608K | 1.5% | |
| The Vanguard Group | — | — | — | $513K | 1.3% | |
| The Vanguard Group | — | — | — | $500K | 1.2% | |
| Dimensional Fund Advisors | — | — | — | $448K | 1.1% | |
| Dodge & Cox | — | — | — | $430K | 1.1% | |
| The Vanguard Group | — | — | — | $324K | 0.8% | |
| Capital Group American Funds | — | — | — | $271K | 0.7% | |
| Fidelity | — | — | — | $264K | 0.7% | |
| Participant loans | — | — | — | $217K | 0.5% | |
| Capital Group American Funds | — | — | — | $214K | 0.5% | |
| Dimensional Fund Advisors | — | — | — | $152K | 0.4% | |
| Victory Capital Management | — | — | — | $143K | 0.4% | |
| Eaton Vance | — | — | — | $131K | 0.3% | |
| Dimensional Fund Advisors | — | — | — | $128K | 0.3% | |
| Brandywine Global Incorporated | — | — | — | $104K | 0.3% | |
| The Vanguard Group | — | — | — | $91K | 0.2% | |
| Pacific Investment Management Company, LLC | — | — | — | $81K | 0.2% | |
| The Vanguard Group | — | — | — | $50K | 0.1% | |
| Schwab | — | — | — | $35K | <0.1% | |
| The Vanguard Group | — | — | — | $16K | <0.1% | |
| MAP VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY SEPARATE ACCOUNT D · EIN 71-0294708 / PN 001 | Pooled Separate Account | — | — | $0 | <0.1% |
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