Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.

Accepted 2022-12-15 00:00:00 ET · period of report 2022-12-13 · accession 0001683168-22-008452 · 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	2022-12-15	2022-12-13+	AAOI	Kuo David C	GC, Sec	S - Sale	$2.18	-19.3K	87.3K	-18%	-$42.1K

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock, $.001 par value	2022-12-13	S	D	10,519	$2.18	96,130	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 13, 2022 at actual sale prices ranging from $2.15 to $2.25 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	2022-12-14	S	D	8,804	$2.18	87,326	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 14, 2022 at actual sale prices ranging from $2.15 to $2.20 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.