Shu-Hua (joshua) Yeh - 23 Oct 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
23 Oct 2023
Net transactions value
-$61,064
Form type
4
Filing time
25 Oct 2023, 16:04:14 UTC
Previous filing
14 Sep 2023
Next filing
11 Dec 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 $11,519 -1,667 -0.55% $6.91 300,737 23 Oct 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability $7,442 -1,077 -0.36% $6.91 299,660 23 Oct 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability $11,319 -1,638 -0.55% $6.91 298,022 23 Oct 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability $13,129 -1,900 -0.64% $6.91 296,122 23 Oct 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability $17,655 -2,555 -0.86% $6.91 293,567 23 Oct 2023 Direct F4
* 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 27, 2022.
F4 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