Hung-Lun (fred) Chang - 24 Jul 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
24 Jul 2023
Net transactions value
-$62,452
Form type
4
Filing time
26 Jul 2023, 16:01:39 UTC
Previous filing
28 Jun 2023
Next filing
10 Aug 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 $9,895 -1,251 -0.45% $7.91 276,213 24 Jul 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability $6,771 -856 -0.31% $7.91 275,357 24 Jul 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability $10,014 -1,266 -0.46% $7.91 274,091 24 Jul 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability $11,952 -1,511 -0.55% $7.91 272,580 24 Jul 2023 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability $18,739 -2,369 -0.87% $7.91 270,211 24 Jul 2023 Direct F5
transaction AAOI Common Stock, $.001 par value Tax liability $5,080 -2,374 -0.88% $2.14* 267,837 25 Jul 2023 Direct F6
* 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 3, 2020.
F2 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
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 27, 2022.
F5 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
F6 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.

Remarks:

*** Senior Vice President and North America General Manager