Chih-Hsiang (Thompson) Lin - Jan 23, 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role: President and CEO, Director
Signature: /s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin
Stock symbol: AAOI
Transactions as of: Jan 23, 2023
Transactions value $: -$36,328
Form type: 4
Date filed: 1/25/2023, 03:01 PM
Previous filing: Nov 8, 2022
Next filing: Apr 26, 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$3.65K	-1.65K	-0.18%	$2.21^*	893K	Jan 23, 2023	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$8.5K	-3.85K	-0.43%	$2.21^*	889K	Jan 23, 2023	Direct	F2
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$5.76K	-2.61K	-0.29%	$2.21^*	886K	Jan 23, 2023	Direct	F3
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$8.26K	-3.74K	-0.42%	$2.21^*	883K	Jan 23, 2023	Direct	F4
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$10.2K	-4.6K	-0.52%	$2.21^*	878K	Jan 23, 2023	Direct	F5

Showing 1 to 5 of 5 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.
F2	Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
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 11, 2021.
F5	Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.