APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2024

Nov 18, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2024-11-15

Reporting Person: BLACK RICHARD B (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-11-15	Common Stock, $.001 par value	S	10000	$27.5240	Disposed	177813	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, $.001 par value	8162	Indirect

Footnotes

F1: The shares were sold by The Richard B. Black Revocable Trust U/A Dtd. Aug 31, 1998; Richard B. Black TTEE, to which the reporting person contributed 35,745 shares of common stock on April 26, 2019, in a transaction that resulted in a change in form of beneficial ownership from direct to indirect. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 13, 2024. The shares were sold in multiple transactions at actual sale prices ranging from $27.36 to $27.765 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 securityholder of the issuer, full information regarding the number of shares sold during each transaction. The shares were held by the reporting person in a revocable living trust of which the reporting person is the trustee and beneficial owner.

F2: Shares held by Heather Bilandic Black Ttee dtd, of which Mr. Black's spouse is the trustee and beneficial owner.