Shu-Hua (joshua) Yeh - 24 Jul 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
*** Senior Vice President and Asia General Manager
Signature
/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh
Issuer symbol
AAOI
Transactions as of
24 Jul 2023
Net transactions value
-$75,379
Form type
4
Filing time
26 Jul 2023, 16:01:31 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 $13,186 -1,667 -0.47% $7.91 356,134 24 Jul 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability $8,519 -1,077 -0.3% $7.91 355,057 24 Jul 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability $12,957 -1,638 -0.46% $7.91 353,419 24 Jul 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability $15,029 -1,900 -0.54% $7.91 351,519 24 Jul 2023 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability $20,210 -2,555 -0.73% $7.91 348,964 24 Jul 2023 Direct F5
transaction AAOI Common Stock, $.001 par value Tax liability $5,478 -2,560 -0.73% $2.14* 346,404 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 Asia General Manager