Stefan J. Murry - Jan 21, 2025 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
Chief Financial Officer
Signature
/s/ David C. Kuo, attorney in fact for Stefan J. Murry
Stock symbol
AAOI
Transactions as of
Jan 21, 2025
Transactions value $
-$329,551
Form type
4
Date filed
1/23/2025, 06:11 PM
Previous filing
Jan 17, 2025
Next filing
Feb 20, 2025
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 Sale -$80.8K -2.3K -1.08% $35.17 210K Jan 21, 2025 Direct F1
transaction AAOI Common Stock, $.001 par value Tax liability -$32.8K -1.09K -0.52% $30.15 209K Jan 22, 2025 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability -$44.4K -1.47K -0.71% $30.15 207K Jan 22, 2025 Direct F2
transaction AAOI Common Stock, $.001 par value Tax liability -$57.9K -1.92K -0.93% $30.15 205K Jan 22, 2025 Direct F3
transaction AAOI Common Stock, $.001 par value Tax liability -$92.4K -3.06K -1.49% $30.15 202K Jan 22, 2025 Direct F4
transaction AAOI Common Stock, $.001 par value Tax liability -$21.1K -701 -0.35% $30.15 202K Jan 22, 2025 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 18, 2024. The shares were sold in multiple transactions at actual sale prices ranging from $35 to $35.34 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.
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.
F5 Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on April 29, 2024.