Stefan J. Murry - 31 Aug 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
Chief Financial Officer
Signature
/s/ David C. Kuo, attorney in fact for Stefan J. Murry
Issuer symbol
AAOI
Transactions as of
31 Aug 2023
Net transactions value
-$14,742
Form type
4
Filing time
05 Sep 2023, 19:09:49 UTC
Previous filing
22 Aug 2023
Next filing
25 Oct 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 Options Exercise $109,560 +11,000 +5% $9.96 233,130 31 Aug 2023 Direct
transaction AAOI Common Stock, $.001 par value Tax liability $124,302 -8,167 -3.5% $15.22 224,963 31 Aug 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AAOI Incentive Stock Option (Right to Buy) Options Exercise $0 -11,000 -100% $0.000000* 0 31 Aug 2023 Common Stock, $0.001 par value 11,000 $9.96 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects "net exercise" of outstanding stock options. The reporting person received 2,833 shares of common stock on net exercise of option to purchase 11,000 shares of common stock. The Company withheld 8,167 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 30, 2023 of $15.22, pursuant to the terms of the 2013 Equity Incentive Plan.
F2 Options fully vested.