APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023

Dec 13, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2023-12-11

Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-12-11	Common Stock, $.001 par value	M	3750	$13.84	Acquired	1234561	Direct
2023-12-11	Common Stock, $.001 par value	F	2979	$19.76	Disposed	1231582	Direct
2023-12-11	Common Stock, $.001 par value	M	26250	$13.84	Acquired	1257832	Direct
2023-12-11	Common Stock, $.001 par value	F	21481	$19.76	Disposed	1236351	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-12-11	Incentive Stock Option (Right to Buy)	$13.84	M	3750	Disposed	2024-01-28	Common Stock, $0.001 par value (3750)	Direct
2023-12-11	Non-Qualified Stock Option (Right to Buy)	$13.84	M	26250	Disposed	2024-01-28	Common Stock, $0.001 par value (26250)	Direct

Footnotes

F1: Reflects "net exercise" of outstanding stock options. The reporting person received 771 shares of common stock on net exercise of option to purchase 3,750 shares of common stock. The Company withheld 2,979 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on December 8, 2023 of $19.76, pursuant to the terms of the 2013 Equity Incentive Plan.

F2: Reflects "net exercise" of outstanding stock options. The reporting person received 4,769 shares of common stock on net exercise of option to purchase 26,250 shares of common stock. The Company withheld 21,481 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on December 8, 2023 of $19.76, pursuant to the terms of the 2013 Equity Incentive Plan.

F3: Options fully vested.