Hung-Lun (Fred) Chang - Jul 24, 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
Jul 24, 2023
Transactions value $
-$62,452
Form type
4
Date filed
7/26/2023, 04:01 PM
Previous filing
Jun 28, 2023
Next filing
Aug 10, 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 -$9.9K -1.25K -0.45% $7.91 276K Jul 24, 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability -$6.77K -856 -0.31% $7.91 275K Jul 24, 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability -$10K -1.27K -0.46% $7.91 274K Jul 24, 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability -$12K -1.51K -0.55% $7.91 273K Jul 24, 2023 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability -$18.7K -2.37K -0.87% $7.91 270K Jul 24, 2023 Direct F5
transaction AAOI Common Stock, $.001 par value Tax liability -$5.08K -2.37K -0.88% $2.14* 268K Jul 25, 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