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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2021
Oct 26, 2021
31853_dirs_2021-10-26_a254e917-7cd7-462c-8bd5-21a3e423298c.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: 2021-10-22
Reporting Person: Chang Hung-Lun (Fred) (*** See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-10-22 | Common Stock, $.001 par value | F | 550 | $0.00 | Disposed | 179411 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 346 | $0.00 | Disposed | 179065 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 1415 | $0.00 | Disposed | 177650 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 969 | $0.00 | Disposed | 176681 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 1432 | $0.00 | Disposed | 175249 | 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 6, 2018.
F2: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.
F3: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
F4: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
F5: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.