Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2021-07-26 00:00:00 ET · period of report 2021-07-22 · accession 0001683168-21-003098 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2021-07-26 | 2021-07-22+ | AAOI | Chang Hung-Lun (Fred) | *** See Remarks | F - Tax | $0.00 | -5,094 | 182.8K | -3% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $.001 par value | 2021-07-22 | F | D | 542 | $0.00 | 184,513 | D | — | — | (F1) Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018. |
| 2 | Common | Common Stock, $.001 par value | 2021-07-22 | F | D | 341 | $0.00 | 184,172 | D | — | — | (F2) Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019. |
| 3 | Common | Common Stock, $.001 par value | 2021-07-23 | F | D | 1,409 | $0.00 | 179,961 | D | — | — | (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. |
| 4 | Common | Common Stock, $.001 par value | 2021-07-22 | F | D | 1,409 | $0.00 | 181,370 | D | — | — | (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. |
| 5 | Common | Common Stock, $.001 par value | 2021-07-22 | F | D | 1,393 | $0.00 | 182,779 | D | — | — | (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. |