Shu-Hua (Joshua) Yeh - Oct 23, 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
Oct 23, 2023
Transactions value $
-$61,064
Form type
4
Date filed
10/25/2023, 04:04 PM
Previous filing
Sep 14, 2023
Next filing
Dec 11, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AAOI Common Stock, $.001 par value Tax liability -$11.5K -1.67K -0.55% $6.91 301K Oct 23, 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability -$7.44K -1.08K -0.36% $6.91 300K Oct 23, 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability -$11.3K -1.64K -0.55% $6.91 298K Oct 23, 2023 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability -$13.1K -1.9K -0.64% $6.91 296K Oct 23, 2023 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability -$17.7K -2.56K -0.86% $6.91 294K Oct 23, 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