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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2020
Jul 24, 2020
31853_dirs_2020-07-24_ec2d9813-d4b6-4235-a235-44ca7cf0d2d2.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: 2020-07-22
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-07-22 | Common Stock, $.001 par value | F | 3148 | $13.925 | Disposed | 826989 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | F | 2991 | $13.925 | Disposed | 823998 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | F | 2099 | $13.925 | Disposed | 821899 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | F | 4897 | $13.925 | Disposed | 817002 | 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.