Chih-Hsiang (thompson) Lin - 24 Jul 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
President and CEO, Director
Signature
/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin
Issuer symbol
AAOI
Transactions as of
24 Jul 2023
Net transactions value
-$224,815
Form type
4
Filing time
26 Jul 2023, 16:01:42 UTC
Previous filing
28 Jun 2023
Next filing
14 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 $35,880 -4,536 -0.37% $7.91 1,211,727 24 Jul 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability $24,300 -3,072 -0.25% $7.91 1,208,655 24 Jul 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability $34,875 -4,409 -0.36% $7.91 1,204,246 24 Jul 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability $42,888 -5,422 -0.45% $7.91 1,198,824 24 Jul 2023 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability $68,366 -8,643 -0.72% $7.91 1,190,181 24 Jul 2023 Direct F5
transaction AAOI Common Stock, $.001 par value Tax liability $18,507 -8,648 -0.73% $2.14* 1,181,533 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.