APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023

Sep 14, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2023-09-12

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-09-12	Common Stock, $.001 par value	M	12000	$9.96	Acquired	313404	Direct
2023-09-12	Common Stock, $.001 par value	F	11000	$11.65	Disposed	302404	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-09-12	Non-Qualified Stock Option (Right to Buy)	$9.96	M	12000	Disposed	2023-09-26	Common Stock, $0.001 par value (12000)	Direct

Footnotes

F1: Reflects "net exercise" of outstanding stock options. The reporting person received 1,000 shares of common stock on net exercise of option to purchase 12,000 shares of common stock. The Company withheld 11,000 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on September 11, 2023 of $11.65, pursuant to the terms of the 2013 Equity Incentive Plan.

F2: Options fully vested.