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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023
Jul 26, 2023
31853_dirs_2023-07-26_8a5941d2-f5dd-4cef-8f99-088b2c89e226.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: 2023-07-24
Reporting Person: Chang Hung-Lun (Fred) (*** See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-07-24 | Common Stock, $.001 par value | F | 1251 | $7.91 | Disposed | 276213 | Direct |
| 2023-07-24 | Common Stock, $.001 par value | F | 856 | $7.91 | Disposed | 275357 | Direct |
| 2023-07-24 | Common Stock, $.001 par value | F | 1266 | $7.91 | Disposed | 274091 | Direct |
| 2023-07-24 | Common Stock, $.001 par value | F | 1511 | $7.91 | Disposed | 272580 | Direct |
| 2023-07-24 | Common Stock, $.001 par value | F | 2369 | $7.91 | Disposed | 270211 | Direct |
| 2023-07-25 | Common Stock, $.001 par value | F | 2374 | $2.14 | Disposed | 267837 | 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 3, 2020.
F2: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
F3: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
F4: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
F5: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
F6: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.