AI assistant
APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2020
Jul 24, 2020
31853_dirs_2020-07-24_39401981-a835-472c-a9a2-0d4c20e57d5c.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2020-07-22
Reporting Person: Kuo David C (General Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-07-22 | Common Stock, $.001 par value | F | 395 | $13.925 | Disposed | 65138 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | F | 336 | $13.925 | Disposed | 64802 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | F | 225 | $13.925 | Disposed | 64577 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | F | 1010 | $13.925 | Disposed | 63567 | Direct |
| 2020-07-22 | Common Stock, $.001 par value | S | 2000 | $15 | Disposed | 61567 | 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.
F5: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.