| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Kuo David C | ***Senior Vice President and Chief Legal Officer | C/O APPLIED OPTOELECTRONICS, INC., 13139 JESS PIRTLE BLVD., SUGAR LAND | /s/ David C. Kuo | 29 Dec 2025 | 0001587422 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AAOI | Common Stock, $.001 par value | Sale | $501,875 | -12,500 | -8.7% | $40.15 | 130,948 | 23 Dec 2025 | Direct | F1 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2025. The shares were sold in multiple transactions at actual sale prices ranging from $40.025 to $40.220 per share. The price reported reflects the weighted average sale price for the transactions. 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. |
***Senior Vice President and Chief Legal Officer