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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2021
Jul 26, 2021
31853_dirs_2021-07-26_6d33f5d3-792d-48b0-ad7d-8ed1ea810021.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: Chang Hung-Lun (Fred) (*** See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-07-22 | Common Stock, $.001 par value | F | 542 | $0.00 | Disposed | 184513 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 341 | $0.00 | Disposed | 184172 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 1393 | $0.00 | Disposed | 182779 | Direct |
| 2021-07-22 | Common Stock, $.001 par value | F | 1409 | $0.00 | Disposed | 181370 | Direct |
| 2021-07-23 | Common Stock, $.001 par value | F | 1409 | $0.00 | Disposed | 179961 | 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.