Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2023-10-25 00:00:00 ET · period of report 2023-10-23 · accession 0001683168-23-007407 · 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 | 2023-10-25 | 2023-10-23 | AAOI | Yeh Shu-Hua (Joshua) | *** See Remarks | F - Tax | $6.91 | -8,837 | 299.7K | -3% | -$61.1K |
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 | 2023-10-23 | F | D | 2,555 | $6.91 | 293,567 | D | — | — | (F4) Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023. |
| 2 | Common | Common Stock, $.001 par value | 2023-10-23 | F | D | 1,900 | $6.91 | 296,122 | D | — | — | (F3) Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022. |
| 3 | Common | Common Stock, $.001 par value | 2023-10-23 | F | D | 1,638 | $6.91 | 298,022 | 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. |
| 4 | Common | Common Stock, $.001 par value | 2023-10-23 | F | D | 1,667 | $6.91 | 300,737 | 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. |
| 5 | Common | Common Stock, $.001 par value | 2023-10-23 | F | D | 1,077 | $6.91 | 299,660 | 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. |