Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2023-01-25 00:00:00 ET · period of report 2023-01-23 · accession 0001683168-23-000329 · 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 | 2023-01-25 | 2023-01-23 | AAOI | Yeh Shu-Hua (Joshua) | *** See Remarks | F - Tax | $2.21 | -6,717 | 268.0K | -2% | -$14.8K |
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 | 2023-01-23 | F | D | 415 | $2.21 | 274,319 | D | — | — | (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. |
| 2 | Common | Common Stock, $.001 par value | 2023-01-23 | F | D | 1,672 | $2.21 | 272,647 | D | — | — | (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. |
| 3 | Common | Common Stock, $.001 par value | 2023-01-23 | F | D | 1,082 | $2.21 | 271,565 | D | — | — | (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. |
| 4 | Common | Common Stock, $.001 par value | 2023-01-23 | F | D | 1,643 | $2.21 | 269,922 | 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 | 2023-01-23 | F | D | 1,905 | $2.21 | 268,017 | D | — | — | (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. |