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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2021
Jan 26, 2021
31853_dirs_2021-01-26_e1b71ffc-36f9-48ca-beee-dd5a8065bbec.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: 2021-01-22
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-22 | Common Stock, $.001 par value | F | 2965 | $10.49 | Disposed | 777538 | Direct |
| 2021-01-22 | Common Stock, $.001 par value | F | 2817 | $10.49 | Disposed | 774721 | Direct |
| 2021-01-22 | Common Stock, $.001 par value | F | 1977 | $10.49 | Disposed | 772744 | Direct |
| 2021-01-22 | Common Stock, $.001 par value | F | 4613 | $10.49 | Disposed | 768131 | 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 21, 2017.
F2: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018.
F3: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.
F4: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.