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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2023
Jan 25, 2023
31853_dirs_2023-01-25_ab90a72d-daff-496a-af02-a4a49eaf2c34.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: 2023-01-23
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-01-23 | Common Stock, $.001 par value | F | 1652 | $2.21 | Disposed | 892814 | Direct |
| 2023-01-23 | Common Stock, $.001 par value | F | 3846 | $2.21 | Disposed | 888968 | Direct |
| 2023-01-23 | Common Stock, $.001 par value | F | 2606 | $2.21 | Disposed | 886362 | Direct |
| 2023-01-23 | Common Stock, $.001 par value | F | 3738 | $2.21 | Disposed | 882624 | Direct |
| 2023-01-23 | Common Stock, $.001 par value | F | 4596 | $2.21 | Disposed | 878028 | 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: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
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 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 27, 2022.