David C. Kuo - 13 Dec 2022 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role: General Counsel and Secretary
Signature: /s/ David C. Kuo
Issuer symbol: AAOI
Transactions as of: 13 Dec 2022
Net transactions value: -$42,108
Form type: 4
Filing time: 15 Dec 2022, 15:01:28 UTC
Previous filing: 12 Dec 2022
Next filing: 25 Jan 2023
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	$22,895	-10,519	-9.9%	$2.18^*	96,130	13 Dec 2022	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Sale	$19,213	-8,804	-9.2%	$2.18^*	87,326	14 Dec 2022	Direct	F2

* 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 13, 2022 at actual sale prices ranging from $2.15 to $2.25 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 14, 2022 at actual sale prices ranging from $2.15 to $2.20 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.

Content

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 13, 2022 at actual sale prices ranging from $2.15 to $2.25 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.

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 14, 2022 at actual sale prices ranging from $2.15 to $2.20 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.