Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.

Accepted 2023-10-25 00:00:00 ET · period of report 2023-10-23 · accession 0001683168-23-007403 · 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	2023-10-25	2023-10-23	AAOI	Kuo David C	*** See Remarks	F - Tax	$6.91	-3,689	126.8K	-3%	-$25.5K

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	2023-10-23	F	D	616	$6.91	126,211	D	—	—	(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.
2	Common	Common Stock, $.001 par value	2023-10-23	F	D	735	$6.91	125,476	D	—	—	(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.
3	Common	Common Stock, $.001 par value	2023-10-23	F	D	1,287	$6.91	124,189	D	—	—	(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.
4	Common	Common Stock, $.001 par value	2023-10-23	F	D	634	$6.91	127,244	D	—	—	(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.
5	Common	Common Stock, $.001 par value	2023-10-23	F	D	417	$6.91	126,827	D	—	—	(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.