Stefan J. Murry - Dec 20, 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
Chief Financial Officer
Signature
/s/ David C. Kuo, attorney in fact for Stefan J. Murry
Stock symbol
AAOI
Transactions as of
Dec 20, 2023
Transactions value $
-$7,354
Form type
4
Date filed
12/21/2023, 04:01 PM
Previous filing
Oct 25, 2023
Next filing
Jan 18, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AAOI Common Stock, $.001 par value Options Exercise $69.2K +5K +2.29% $13.84 224K Dec 20, 2023 Direct
transaction AAOI Common Stock, $.001 par value Tax liability -$76.6K -3.33K -1.49% $23.01 220K Dec 20, 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 Incentive Stock Option (Right to Buy) Options Exercise $0 -5K -100% $0.00* 0 Dec 20, 2023 Common Stock, $0.001 par value 5K $13.84 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 1,673 shares of common stock on net exercise of option to purchase 5,000 shares of common stock. The Company withheld 3,327 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on December 19, 2023 of $23.01, pursuant to the terms of the 2013 Equity Incentive Plan.
F2 Options fully vested.