Stefan J. Murry - 17 Jan 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role: Chief Financial Officer
Signature: /s/ David C. Kuo, attorney in fact for Stefan J. Murry
Issuer symbol: AAOI
Transactions as of: 17 Jan 2023
Net transactions value: -$11,031
Form type: 4
Filing time: 19 Jan 2023, 17:59:55 UTC
Previous filing: 15 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	$3,266	-1,300	-0.63%	$2.51^*	205,130	17 Jan 2023	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Sale	$7,765	-3,100	-1.5%	$2.50^*	202,030	18 Jan 2023	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 September 16, 2022. The shares were sold in multiple transactions on January 17, 2023 at actual sale prices ranging from $2.50 to $2.53 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 September 16, 2022. The shares were sold in multiple transactions on January 18, 2023 at actual sale prices ranging from $2.50 to $2.53 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 September 16, 2022. The shares were sold in multiple transactions on January 17, 2023 at actual sale prices ranging from $2.50 to $2.53 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 September 16, 2022. The shares were sold in multiple transactions on January 18, 2023 at actual sale prices ranging from $2.50 to $2.53 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.