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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2022
Dec 12, 2022
31853_dirs_2022-12-12_fc686f28-984a-495a-95d7-b330045cd43c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2022-12-08
Reporting Person: Kuo David C (General Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-12-08 | Common Stock, $.001 par value | S | 9027 | $2.1565 | Disposed | 116799 | Direct |
| 2022-12-09 | Common Stock, $.001 par value | S | 5569 | $2.1668 | Disposed | 111230 | Direct |
| 2022-12-12 | Common Stock, $.001 par value | S | 4581 | $2.1634 | Disposed | 106649 | 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 8, 2022 at actual sale prices ranging from $2.15 to $2.18 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 9, 2022 at actual sale prices ranging from $2.15 to $2.18 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.
F3: 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 12, 2022 at actual sale prices ranging from $2.15 to $2.18 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.