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

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
* 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.