David C. Kuo - Dec 8, 2022 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role: General Counsel and Secretary
Signature: /s/ David C. Kuo
Stock symbol: AAOI
Transactions as of: Dec 8, 2022
Transactions value $: -$41,444
Form type: 4
Date filed: 12/12/2022, 03:54 PM
Previous filing: Oct 26, 2022
Next filing: Dec 15, 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AAOI	Common Stock, $.001 par value	Sale	-$19.5K	-9.03K	-7.17%	$2.16^*	117K	Dec 8, 2022	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Sale	-$12.1K	-5.57K	-4.77%	$2.17^*	111K	Dec 9, 2022	Direct	F2
transaction	AAOI	Common Stock, $.001 par value	Sale	-$9.91K	-4.58K	-4.12%	$2.16^*	107K	Dec 12, 2022	Direct	F3

Showing 1 to 3 of 3 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2022. The shares were sold in multiple transactions on December 8, 2022 at actual sale prices ranging from $2.15 to $2.18 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.
F2	These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2022. The shares were sold in multiple transactions on December 9, 2022 at actual sale prices ranging from $2.15 to $2.18 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.
F3	These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2022. The shares were sold in multiple transactions on December 12, 2022 at actual sale prices ranging from $2.15 to $2.18 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.