APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2020

Aug 12, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2020-08-10

Reporting Person: Kuo David C (General Counsel and Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-10	Common Stock, $.001 par value	S	1000	$15.82	Disposed	60567	Direct
2020-08-11	Common Stock, $.001 par value	S	12500	$14.0484	Disposed	48067	Direct

Footnotes

F1: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F2: The shares were sold in multiple transactions on August 11, 2020 at an actual sale price ranging from $14.00 to $14.19 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.