APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2022

Dec 15, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2022-12-13

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-12-13	Common Stock, $.001 par value	S	10519	$2.1765	Disposed	96130	Direct
2022-12-14	Common Stock, $.001 par value	S	8804	$2.1823	Disposed	87326	Direct

Footnotes

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.

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.