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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2020
Oct 26, 2020
31853_dirs_2020-10-26_c50af298-4503-47af-a69b-51d45d9bc090.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2020-10-22
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-10-22 | Common Stock, $.001 par value | F | 3148 | $10.65 | Disposed | 790490 | Direct |
| 2020-10-22 | Common Stock, $.001 par value | F | 2991 | $10.65 | Disposed | 787499 | Direct |
| 2020-10-22 | Common Stock, $.001 par value | F | 2099 | $10.65 | Disposed | 785400 | Direct |
| 2020-10-22 | Common Stock, $.001 par value | F | 4897 | $10.65 | Disposed | 780503 | Direct |
Footnotes
F1: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 21, 2017.
F2: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018.
F3: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.
F4: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.