0001683168-23-000246.txt : 20230119 0001683168-23-000246.hdr.sgml : 20230119 20230119185955 ACCESSION NUMBER: 0001683168-23-000246 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230117 FILED AS OF DATE: 20230119 DATE AS OF CHANGE: 20230119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murry Stefan J. CENTRAL INDEX KEY: 0001587599 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 23538554 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED OPTOELECTRONICS, INC. CENTRAL INDEX KEY: 0001158114 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 760533927 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 BUSINESS PHONE: 281-295-1800 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER COMPANY: FORMER CONFORMED NAME: APPLIED OPTOELECTRONICS INC DATE OF NAME CHANGE: 20010824 4 1 ownership.xml X0306 4 2023-01-17 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587599 Murry Stefan J. C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 Chief Financial Officer Common Stock, $.001 par value 2023-01-17 4 S 0 1300 2.5125 D 205130 D Common Stock, $.001 par value 2023-01-18 4 S 0 3100 2.5048 D 202030 D These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 16, 2022. The shares were sold in multiple transactions on January 17, 2023 at actual sale prices ranging from $2.50 to $2.53 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 security holder of the issuer, full information regarding the number of shares sold during each transaction. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 16, 2022. The shares were sold in multiple transactions on January 18, 2023 at actual sale prices ranging from $2.50 to $2.53 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 security holder of the issuer, full information regarding the number of shares sold during each transaction. /s/ David C. Kuo, attorney in fact for Stefan J. Murry 2023-01-19