Hung-Lun (fred) Chang - 23 Jan 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
Issuer symbol
AAOI
Transactions as of
23 Jan 2023
Net transactions value
-$8,791
Form type
4
Filing time
25 Jan 2023, 15:01:26 UTC
Previous filing
14 Nov 2022
Next filing
26 Apr 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 Tax liability $528 -239 -0.14% $2.21* 174,603 23 Jan 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability $2,117 -958 -0.55% $2.21* 173,645 23 Jan 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability $1,452 -657 -0.38% $2.21* 172,988 23 Jan 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability $2,141 -969 -0.56% $2.21* 172,019 23 Jan 2023 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability $2,553 -1,155 -0.67% $2.21* 170,864 23 Jan 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