Shu-Hua (Joshua) Yeh - Sep 12, 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
Stock symbol
AAOI
Transactions as of
Sep 12, 2023
Transactions value $
-$8,630
Form type
4
Date filed
9/14/2023, 04:01 PM
Previous filing
Aug 10, 2023
Next filing
Oct 25, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AAOI Common Stock, $.001 par value Options Exercise $120K +12K +3.98% $9.96 313K Sep 12, 2023 Direct
transaction AAOI Common Stock, $.001 par value Tax liability -$128K -11K -3.51% $11.65 302K Sep 12, 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 Non-Qualified Stock Option (Right to Buy) Options Exercise $0 -12K -100% $0.00* 0 Sep 12, 2023 Common Stock, $0.001 par value 12K $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 1,000 shares of common stock on net exercise of option to purchase 12,000 shares of common stock. The Company withheld 11,000 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on September 11, 2023 of $11.65, pursuant to the terms of the 2013 Equity Incentive Plan.
F2 Options fully vested.

Remarks:

*** Senior Vice President and Asia General Manager