Employers › Applied Optoelectronics
Recordkeeping fees per participant · Applied Optoelectronics, Inc. 401(k) Plan · plan year 2024
$0.14
Higher than 0% of the 14,075 plans $10 to 50M that report it.
= $75 / 524
Schedule H, line 2i(3); OTH_RECORDKEEPING_FEES_AMT pos 160; filing 20251003181141NAL0001657249001, received 2025-10-03
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251003181141NAL0001657249001, received 2025-10-03
Percentiles compare this plan with the Schedule H plans $10 to 50M in assets of the same plan year, excluding final filings; shown only where at least 50 comparable plans report the figure. Plan year 2024-01-01 to 2024-12-31, filing received 2025-10-03.
Administrative expenses excluding investment management, per participant
$38.95
Higher than 22% of the 24,371 plans $10 to 50M that report it.
= $20,410 / 524
derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20251003181141NAL0001657249001, received 2025-10-03
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251003181141NAL0001657249001, received 2025-10-03
Administrative expenses per participant
$64.91
Higher than 20% of the 25,098 plans $10 to 50M that report it.
= $34,013 / 524
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20251003181141NAL0001657249001, received 2025-10-03
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251003181141NAL0001657249001, received 2025-10-03
Administrative expenses as a share of assets
0.084%
Higher than 19% of the 25,132 plans $10 to 50M that report it.
= $34,013 / $40,461,769
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20251003181141NAL0001657249001, received 2025-10-03
assets_eoy: Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20251003181141NAL0001657249001, received 2025-10-03
Employer contributions per participant
$2,169
Higher than 53% of the 24,050 plans $10 to 50M that report it.
= $1,136,669 / 524
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20251003181141NAL0001657249001, received 2025-10-03
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251003181141NAL0001657249001, received 2025-10-03
Employer share of total contributions
26.1%
Higher than 44% of the 24,084 plans $10 to 50M that report it.
= $1,136,669 / $4,347,405
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20251003181141NAL0001657249001, received 2025-10-03
total_contrib: Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20251003181141NAL0001657249001, received 2025-10-03
Plan terms are described in Applied Optoelectronics, Inc.'s SEC filings: Form 10-K filed 2026-02-26. No term could be quoted from them with the required precision.
2E profit-sharing · 2F ERISA 404(c) plan · 2G fully participant-directed · 2J 401(k) feature · 2K 401(m) arrangement · 2R participant brokerage window · 2S pre-approved plan document · 2T default investment (QDIA) · 3D IRS pre-approved plan · Form 5500, line 8a; TYPE_PENSION_BNFT_CODE pos 81; filing 20251003181141NAL0001657249001, received 2025-10-03
| Field | Value | Source |
|---|---|---|
| Plan sponsor | APPLIED OPTOELECTRONICS, INC. | Form 5500, Part II line 2a; SPONSOR_DFE_NAME pos 19; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Plan name | APPLIED OPTOELECTRONICS, INC. 401(K) PLAN | Form 5500, line 1a; PLAN_NAME pos 16; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Sponsor EIN / plan number | 76-0533927 / 001 | Form 5500, line 2b; SPONS_DFE_EIN pos 44; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Plan type | single-employer | Form 5500, Part I line A; TYPE_PLAN_ENTITY_CD pos 4; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Sponsor location | SUGAR LAND, TX | Form 5500, line 2a; SPONS_DFE_MAIL_US_STATE pos 25; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Industry (business code) | 541990, Professional, scientific, and technical services | Form 5500, line 2d; BUSINESS_CODE pos 46; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Plan year | 2024-01-01 to 2024-12-31 | Form 5500, Part I plan year; FORM_PLAN_YEAR_BEGIN_DATE pos 2; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Filing received | 2025-10-03 | Form 5500, EFAST2 receipt date; DATE_RECEIVED pos 102; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Final filing | no | Form 5500, Part I line B; FINAL_FILING_IND pos 8; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Amended filing | no | Form 5500, Part I line B; AMENDED_IND pos 7; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Participants, beginning of year | 555 | Form 5500, line 5; TOT_PARTCP_BOY_CNT pos 71; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Active participants | 368 | Form 5500, line 6a(2); TOT_ACTIVE_PARTCP_CNT pos 72; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Participants, end of year | 553 | Form 5500, line 6f; TOT_ACT_RTD_SEP_BENEF_CNT pos 77; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Participants with an account balance | 524 | Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Total assets, beginning of year | $33,488,371 | Schedule H, Part I line 1f col (a); TOT_ASSETS_BOY_AMT pos 30; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Total assets, end of year | $40,461,769 | Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Net assets, end of year | $40,461,769 | Schedule H, line 1l col (b); NET_ASSETS_EOY_AMT pos 67; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Total income | $9,057,018 | Schedule H, Part II line 2d; TOT_INCOME_AMT pos 97; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Net income | $6,974,290 | Schedule H, line 2k; NET_INCOME_AMT pos 111; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Employer contributions | $1,136,669 | Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Participant contributions | $2,961,271 | Schedule H, line 2a(1)(B); PARTICIPANT_CONTRIB_AMT pos 69; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Other contributions (incl. rollovers) | $249,465 | Schedule H, line 2a(1)(C); OTH_CONTRIB_RCVD_AMT pos 70; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Total contributions | $4,347,405 | Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Benefit payments | $2,048,715 | Schedule H, line 2e(4); TOT_DISTRIB_BNFT_AMT pos 101; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Total expenses (incl. benefit payments) | $2,082,728 | Schedule H, line 2j; TOT_EXPENSES_AMT pos 110; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Total administrative expenses | $34,013 | Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Contract administrator fees | $19,734 | Schedule H, line 2i(2); CONTRACT_ADMIN_FEES_AMT pos 106; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Recordkeeping fees | $75 | Schedule H, line 2i(3); OTH_RECORDKEEPING_FEES_AMT pos 160; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Investment advisory and management fees | $13,603 | Schedule H, line 2i(5); INVST_MGMT_FEES_AMT pos 107; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Administrative expenses excluding investment management | $20,410 | derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Held in common/collective trusts | $1,151,502 | Schedule H, line 1c(9) col (b); INT_COMMON_TR_EOY_AMT pos 51; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Held in mutual funds | $37,026,621 | Schedule H, line 1c(13) col (b); INT_REG_INVST_CO_EOY_AMT pos 55; filing 20251003181141NAL0001657249001, received 2025-10-03 |
| Independent auditor | LANE GORMAN TRUBITT,LLC | Schedule H, Part III line 3a; ACCOUNTANT_FIRM_NAME pos 116; filing 20251003181141NAL0001657249001, received 2025-10-03 |
Position = column in the DOL layout for form year 2024. Filing 20251003181141NAL0001657249001, received 2025-10-03.
| Provider | Relationship | Service codes | Direct compensation | Indirect |
|---|---|---|---|---|
| VOYA RETIREMENT ADVISORS, LLC | SERVICE PROVIDER | 26 Investment advisory (participants) | $6,672 | no |
| CHARLES SCHWAB & CO., INC. | NONE | 33 Securities brokerage; 50 Direct payment from the plan; 62 Float revenue; 71 Securities brokerage commissions and fees | $41 | yes |
| ONEDIGITAL INVESTMENT ADVISORS | SERVICE PROVIDER | 99 Other fees | $0 | yes |
| ALLIANCE BENEFIT GROUP OF HOUSTON I | THIRD PARTY ADMINISTRATOR | 49 Other services | $0 | yes |
| VOYA RETIRE. INSURANCE & ANNUITY COrecordkeeper | SERVICE PROVIDER | 26 Investment advisory (participants); 64 Recordkeeping fees | $0 | yes |
Schedule C Part I line 2: name (a), service codes (b), relationship (c), direct compensation paid by the plan (d), indirect compensation received (e). Filing 20251003181141NAL0001657249001, received 2025-10-03.
| Figure | 2023 | 2024 | Change |
|---|---|---|---|
| Total assets | $33,488,371 | $40,461,769 | 20.8% |
| Participants with a balance | 534 | 524 | -1.9% |
| Administrative expenses | $21,354 | $34,013 | 59.3% |
| Recordkeeping fees per participant | not reported | $0.14 | |
| Employer contributions | $896,103 | $1,136,669 | 26.8% |
Prior filing 20241009165303NAL0018781025001, received 2024-10-09; the plan years are contiguous.
Sponsor name as filed: APPLIED OPTOELECTRONICS, INC.; SEC registrant: APPLIED OPTOELECTRONICS, INC. (CIK 1158114, matched by EIN; display name from the Form 10-K cover).