0001683168-23-008934.txt : 20231218 0001683168-23-008934.hdr.sgml : 20231218 20231218182116 ACCESSION NUMBER: 0001683168-23-008934 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yeh Shu-Hua (Joshua) CENTRAL INDEX KEY: 0001587600 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 231495083 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] ORGANIZATION NAME: 04 Manufacturing 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 X0508 4 2023-12-14 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587600 Yeh Shu-Hua (Joshua) C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 *** See Remarks 0 Common Stock, $.001 par value 2023-12-14 4 S 0 42779 22.3947 D 251351 D Common Stock, $.001 par value 2023-12-15 4 S 0 20 23.71 D 251331 D These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2023. The shares were sold in multiple transactions on December 14, 2023 at actual sale prices ranging from $22 to $22.94 per share. The price reported reflects the weighted average sale price for the transaction. 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 August 16, 2023. *** Senior Vice President and Asia General Manager /s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh 2023-12-18