Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2022-12-12 00:00:00 ET · period of report 2022-12-08 · accession 0001683168-22-008358 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2022-12-12 | 2022-12-08+ | AAOI | Kuo David C | GC, Sec | S - Sale | $2.16 | -19.2K | 111.2K | -15% | -$41.5K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $.001 par value | 2022-12-08 | S | D | 9,027 | $2.16 | 116,799 | D | — | — | (F1) These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2022. The shares were sold in multiple transactions on December 8, 2022 at actual sale prices ranging from $2.15 to $2.18 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. |
| 2 | Common | Common Stock, $.001 par value | 2022-12-12 | S | D | 4,581 | $2.16 | 106,649 | D | — | — | (F3) These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2022. The shares were sold in multiple transactions on December 12, 2022 at actual sale prices ranging from $2.15 to $2.18 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. |
| 3 | Common | Common Stock, $.001 par value | 2022-12-09 | S | D | 5,569 | $2.17 | 111,230 | D | — | — | (F2) These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2022. The shares were sold in multiple transactions on December 9, 2022 at actual sale prices ranging from $2.15 to $2.18 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. |