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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2021
Jul 26, 2021
31853_dirs_2021-07-26_ce8341ba-9be1-4522-9fbb-8dced1f2de76.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: 2021-07-22
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-07-22 | Common Stock, $.001 par value | F | 2800 | $0.00 | Disposed | 1032734 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 1966 | $0.00 | Disposed | 1030768 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 4585 | $0.00 | Disposed | 1026183 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 4457 | $0.00 | Disposed | 1021726 | Direct |
| 2021-07-23 | Common Stock, $.001 par value | F | 4457 | $0.00 | Disposed | 1017269 | 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.