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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2021
Oct 26, 2021
31853_dirs_2021-10-26_3d29d461-a645-4c42-90d1-1eca860df30b.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: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-10-22 | Common Stock, $.001 par value | F | 2803 | $0.00 | Disposed | 1014466 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 1968 | $0.00 | Disposed | 1012498 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 4590 | $0.00 | Disposed | 1007908 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 3108 | $0.00 | Disposed | 1004800 | Direct |
| 2021-10-22 | Common Stock, $.001 par value | F | 4462 | $0.00 | Disposed | 1000338 | 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.