Hung-Lun (Fred) Chang - Jan 23, 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
*** Senior Vice President and North America General Manager
Signature
/s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang
Stock symbol
AAOI
Transactions as of
Jan 23, 2023
Transactions value $
-$8,791
Form type
4
Date filed
1/25/2023, 03:01 PM
Previous filing
Nov 14, 2022
Next filing
Apr 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AAOI Common Stock, $.001 par value Tax liability -$528 -239 -0.14% $2.21* 175K Jan 23, 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability -$2.12K -958 -0.55% $2.21* 174K Jan 23, 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability -$1.45K -657 -0.38% $2.21* 173K Jan 23, 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability -$2.14K -969 -0.56% $2.21* 172K Jan 23, 2023 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability -$2.55K -1.16K -0.67% $2.21* 171K Jan 23, 2023 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.
F2 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
F3 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
F4 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
F5 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.

Remarks:

*** Senior Vice President and North America General Manager