Chih-Hsiang (Thompson) Lin - Dec 11, 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
President and CEO, Director
Signature
/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin
Stock symbol
AAOI
Transactions as of
Dec 11, 2023
Transactions value $
-$68,130
Form type
4
Date filed
12/13/2023, 04:01 PM
Previous filing
Oct 25, 2023
Next filing
Jan 24, 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 $51.9K +3.75K +0.3% $13.84 1.23M Dec 11, 2023 Direct
transaction AAOI Common Stock, $.001 par value Tax liability -$58.9K -2.98K -0.24% $19.76 1.23M Dec 11, 2023 Direct F1
transaction AAOI Common Stock, $.001 par value Options Exercise $363K +26.3K +2.13% $13.84 1.26M Dec 11, 2023 Direct
transaction AAOI Common Stock, $.001 par value Tax liability -$424K -21.5K -1.71% $19.76 1.24M Dec 11, 2023 Direct F2

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 -3.75K -100% $0.00* 0 Dec 11, 2023 Common Stock, $0.001 par value 3.75K $13.84 Direct F3
transaction AAOI Non-Qualified Stock Option (Right to Buy) Options Exercise $0 -26.3K -100% $0.00* 0 Dec 11, 2023 Common Stock, $0.001 par value 26.3K $13.84 Direct F3
* 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 771 shares of common stock on net exercise of option to purchase 3,750 shares of common stock. The Company withheld 2,979 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on December 8, 2023 of $19.76, pursuant to the terms of the 2013 Equity Incentive Plan.
F2 Reflects "net exercise" of outstanding stock options. The reporting person received 4,769 shares of common stock on net exercise of option to purchase 26,250 shares of common stock. The Company withheld 21,481 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on December 8, 2023 of $19.76, pursuant to the terms of the 2013 Equity Incentive Plan.
F3 Options fully vested.