Shu-Hua (joshua) Yeh - 14 Dec 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
14 Dec 2023
Net transactions value
-$958,497
Form type
4
Filing time
18 Dec 2023, 18:21:16 UTC
Previous filing
11 Dec 2023
Next filing
24 Jan 2024
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 Sale $958,023 -42,779 -15% $22.39 251,351 14 Dec 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Sale $474 -20 -0.01% $23.71 251,331 15 Dec 2023 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2023. The shares were sold in multiple transactions on December 14, 2023 at actual sale prices ranging from $22 to $22.94 per share. The price reported reflects the weighted average sale price for the transaction. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.
F2 These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2023.

Remarks:

*** Senior Vice President and Asia General Manager