APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2020

Jul 24, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2020-07-22

Reporting Person: Yeh Shu-Hua (Joshua) (*** See Remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-07-22	Common Stock, $.001 par value	F	737	$13.925	Disposed	154521	Direct
2020-07-22	Common Stock, $.001 par value	F	629	$13.925	Disposed	153892	Direct
2020-07-22	Common Stock, $.001 par value	F	404	$13.925	Disposed	153488	Direct
2020-07-22	Common Stock, $.001 par value	F	1647	$13.925	Disposed	151841	Direct
2020-07-22	Common Stock, $.001 par value	S	2000	$15.0089	Disposed	149841	Direct

Footnotes

F1: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 21, 2017.

F2: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018.

F3: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.

F4: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.

F5: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2020.