Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2023-07-26 00:00:00 ET · period of report 2023-07-24 · accession 0001683168-23-005090 · 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 | 2023-07-26 | 2023-07-24+ | AAOI | Lin Chih-Hsiang (Thompson) | Pres, CEO, Dir | F - Tax | $6.47 | -34.7K | 1.18M | -3% | -$224.8K |
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 | 2023-07-24 | F | D | 4,536 | $7.91 | 1,211,727 | D | — | — | (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. |
| 2 | Common | Common Stock, $.001 par value | 2023-07-24 | F | D | 3,072 | $7.91 | 1,208,655 | D | — | — | (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. |
| 3 | Common | Common Stock, $.001 par value | 2023-07-24 | F | D | 4,409 | $7.91 | 1,204,246 | 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 | 2023-07-24 | F | D | 5,422 | $7.91 | 1,198,824 | D | — | — | (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. |
| 5 | Common | Common Stock, $.001 par value | 2023-07-24 | F | D | 8,643 | $7.91 | 1,190,181 | D | — | — | (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. |
| 6 | Common | Common Stock, $.001 par value | 2023-07-25 | F | D | 8,648 | $2.14 | 1,181,533 | D | — | — | (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. |