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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023
Jun 28, 2023
31853_dirs_2023-06-28_53b51630-f0eb-4f5a-9175-40c624c31542.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: 2023-06-26
Reporting Person: Chen Min-Chu (Mike) (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-06-26 | Common Stock, $.001 par value | A | 40925 | $0.00 | Acquired | 158361 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $.001 par value | 15000 | Indirect |
Footnotes
F1: These shares are granted in the form of Restricted Stock Units (RSUs) under the 2023 Board Compensation Plan. The grant vests as to 1/12th of the total number of shares on the same day every month with the first vesting on July 8, 2023, until all shares have vested.
F2: 1,914 shares are jointly held as community property under the name of the reporting person's spouse.
F3: Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein.