Shu-Hua (Joshua) Yeh - Dec 14, 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: Dec 14, 2023
Transactions value $: -$958,497
Form type: 4
Date filed: 12/18/2023, 06:21 PM
Previous filing: Dec 11, 2023
Next filing: Jan 24, 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	-$958K	-42.8K	-14.54%	$22.39	251K	Dec 14, 2023	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Sale	-$474	-20	-0.01%	$23.71	251K	Dec 15, 2023	Direct	F2

Showing 1 to 2 of 2 entries

* 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.

Content

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.

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