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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2022
Apr 26, 2022
31853_dirs_2022-04-26_a7048e71-a31c-47bd-8573-87154dd37d6d.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: 2022-04-22
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-04-22 | Common Stock, $.001 par value | F | 1962 | $0.00 | Disposed | 683920 | Direct |
| 2022-04-22 | Common Stock, $.001 par value | F | 4571 | $0.00 | Disposed | 679349 | Direct |
| 2022-04-22 | Common Stock, $.001 par value | F | 3097 | $0.00 | Disposed | 676252 | Direct |
| 2022-04-22 | Common Stock, $.001 par value | F | 4443 | $0.00 | Disposed | 671809 | 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 12, 2019.
F2: The reporting person transferred 297,205 shares of the company's common stock to his former spouse effective March 30, 2022 pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his former spouse.
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.