Shu-Hua (Joshua) Yeh - Oct 23, 2023 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role: *** Senior Vice President and Asia General Manager
Signature: /s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh
Stock symbol: AAOI
Transactions as of: Oct 23, 2023
Transactions value $: -$61,064
Form type: 4
Date filed: 10/25/2023, 04:04 PM
Previous filing: Sep 14, 2023
Next filing: Dec 11, 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	-$11.5K	-1.67K	-0.55%	$6.91	301K	Oct 23, 2023	Direct	F1
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$7.44K	-1.08K	-0.36%	$6.91	300K	Oct 23, 2023	Direct	F2
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$11.3K	-1.64K	-0.55%	$6.91	298K	Oct 23, 2023	Direct	F2
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$13.1K	-1.9K	-0.64%	$6.91	296K	Oct 23, 2023	Direct	F3
transaction	AAOI	Common Stock, $.001 par value	Tax liability	-$17.7K	-2.56K	-0.86%	$6.91	294K	Oct 23, 2023	Direct	F4

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 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 27, 2022.
F4	Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.

Remarks:

*** Senior Vice President and Asia General Manager