APPLIED OPTOELECTRONICS INC
For the period ended Dec 31, 2023. Filed Feb 23, 2024.
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FY2023 · Filed Feb 23, 2024
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Item 9B. Other Information
| Item 9B. | Other Information |
|---|
Rule10b5-1 Trading Plans**
The adoption or termination of contracts, instructions or written plans for the purchase or sale of our securities by our Section16 offers and directors for thethree months ended* December 31, 2023,each of which is intended to satisfy the affirmative defense conditions of Rule10b5*-1(c) under the Exchange Act ("Rule10b5-1 Plan"), were as follows:
| Name | Title | Action | Date Adopted | Expiration Date | Aggregate # of Securities to be Purchased/Sold |
|---|---|---|---|---|---|
| Chih-Hsiang (Thompson) Lin (1) | CEO | Adoption | 12/14/2023 | 3/15/2025 | 60,000 |
| Stefan Murry (2) | CFO | Adoption | 12/14/2023 | 10/31/2024 | 12,000 |
| Hung-Lun (Fred) Chang (3) | SVP/North America General Manager | Adoption | 12/14/2023 | 1/31/2025 | 18,195 |
| David Kuo (4) | SVP/CLO | Adoption | 12/14/2023 | 2/28/2025 | 40,000 |
| (1) | Chih-Hsiang (Thompson) Lin, our CEO, entered into a Rule 10b5-1 Plan on December 14, 2023. Mr. Lin's plan provides for the potential sale of 60,000 shares of the Company's common stock. The Plan expires on March 15, 2025, or upon the earlier of completion of all authorized transactions under the plan. |
| (2) | Stefan Murry, our CFO, entered into a Rule 10b5-1 Plan on December 14, 2023. Mr. Murry's plan provides for the potential sale of 12,000 shares of the Company's common stock. The Plan expires on October 31, 2024, or upon the earlier of completion of all authorized transactions under the plan. |
| (3) | Hung-Lun (Fred) Chang, our Senior Vice President and North America General Manager, entered into a Rule 10b5-1 Plan on December 14, 2023. Mr. Chang's plan provides for the potential sale of up to 18,195 shares of the Company's common stock. The plan expires January 31, 2025, or upon the earlier of the completion of all authorized transactions under the plan. |
| (4) | David Kuo, our Senior Vice President and Chief Legal Officer, entered into a Rule 10b5-1 Plan on December 14, 2023. Mr. Kuo's plan provides for the potential sale of up to 40,000 shares of the Company's common stock. The plan expires February 28, 2025, or upon the earlier completion of all authorized transactions under the plan. |
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