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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2021
Jul 26, 2021
31853_dirs_2021-07-26_ff14c428-bdb9-404a-b402-bf7478985ed7.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: Yeh Shu-Hua (Joshua) (*** See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-07-22 | Common Stock, $.001 par value | F | 638 | $0.00 | Disposed | 239667 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 410 | $0.00 | Disposed | 239257 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 1668 | $0.00 | Disposed | 237589 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 1638 | $0.00 | Disposed | 235951 | Direct |
| 2021-07-23 | Common Stock, $.001 par value | F | 1637 | $0.00 | Disposed | 234314 | 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.