Chih-Hsiang (Thompson) Lin - Oct 23, 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
Stock symbol: AAOI
Transactions as of: Oct 23, 2023
Transactions value $: -$149,671
Form type: 4
Date filed: 10/25/2023, 04:03 PM
Previous filing: Sep 14, 2023
Next filing: Dec 13, 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	-$26K	-3.77K	-0.3%	$6.91	1.25M	Oct 23, 2023	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$17.6K	-2.55K	-0.2%	$6.91	1.25M	Oct 23, 2023	Direct	F2
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$25.3K	-3.66K	-0.29%	$6.91	1.24M	Oct 23, 2023	Direct	F2
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$31.1K	-4.5K	-0.36%	$6.91	1.24M	Oct 23, 2023	Direct	F3
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$49.6K	-7.18K	-0.58%	$6.91	1.23M	Oct 23, 2023	Direct	F4

Showing 1 to 5 of 5 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
F2	Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
F3	Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
F4	Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.