APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023

Jul 26, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2023-07-24

Reporting Person: Kuo David C (***See Remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-07-24	Common Stock, $.001 par value	F	894	$7.91	Disposed	158543	Direct
2023-07-24	Common Stock, $.001 par value	F	588	$7.91	Disposed	157955	Direct
2023-07-24	Common Stock, $.001 par value	F	868	$7.91	Disposed	157087	Direct
2023-07-24	Common Stock, $.001 par value	F	1037	$7.91	Disposed	156050	Direct
2023-07-24	Common Stock, $.001 par value	F	1816	$7.91	Disposed	154234	Direct
2023-07-25	Common Stock, $.001 par value	F	1821	$2.14	Disposed	152413	Direct

Footnotes

F1: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.

F2: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.

F3: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.

F4: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.

F5: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.

F6: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.