APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023

Sep 5, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2023-08-31

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-31	Common Stock, $.001 par value	M	1443	$9.96	Acquired	1218778	Direct
2023-08-31	Common Stock, $.001 par value	F	1084	$15.22	Disposed	1217694	Direct
2023-08-31	Common Stock, $.001 par value	M	65905	$9.96	Acquired	1283599	Direct
2023-08-31	Common Stock, $.001 par value	F	52092	$15.22	Disposed	1231507	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-31	Incentive Stock Option (Right to Buy)	$9.96	M	1443	Disposed	2023-09-26	Common Stock, $0.001 par value (1443)	Direct
2023-08-31	Non-Qualified Stock Option (Right to Buy)	$9.96	M	65905	Disposed	2023-09-26	Common Stock, $0.001 par value (65905)	Direct

Footnotes

F1: Reflects "net exercise" of outstanding stock options. The reporting person received 359 shares of common stock on net exercise of option to purchase 1,443 shares of common stock. The Company withheld 1,084 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 30, 2023 of $15.22, pursuant to the terms of the 2013 Equity Incentive Plan.

F2: Reflects "net exercise" of outstanding stock options. The reporting person received 13,813 shares of common stock on net exercise of option to purchase 65,905 shares of common stock. The Company withheld 52,092 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 30, 2023 of $15.22, pursuant to the terms of the 2013 Equity Incentive Plan.

F3: Options fully vested.