APPLIED OPTOELECTRONICS INC

For the period ended Mar 31, 2024. Filed May 9, 2024.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Mar 31, 2024 · Filed May 9, 2024

AAOI$52.10+3.9%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Rule10b5-1 Trading Plans**

Theadoption or termination of contracts, instructions or written plans for the purchase or sale of our securities by our Section16 officers and directors for thethree months ended* September 30, 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	Termination	12/14/2023	3/15/2025	60,000

(1) Chih-Hsiang (Thompson Lin), our CEO, entered into a Rule10b5-1 Plan on* December 14, 2023.Dr. Lin's plan provided for the potential sale of up to 60,000 shares of the Company's common stock. The plan was set to expire March 15, 2025,or upon the earlier completion of all authorized transactions under the plan. Dr. Lin terminated the plan on March 5, 2024.*

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