Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2023-12-11 00:00:00 ET · period of report 2023-12-07 · accession 0001683168-23-008777 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-12-11 | 2023-12-07 | AAOI | Yeh Shu-Hua (Joshua) | *** See Remarks | F - Tax | $17.22 | -4,437 | 294.1K | -1% | -$76.4K |
| D | 2023-12-11 | 2023-12-07 | AAOI | Yeh Shu-Hua (Joshua) | *** See Remarks | M - OptEx | $13.84 | +5,000 | 298.6K | +2% | +$69.2K |
| D | 2023-12-11 | 2023-12-07 | AAOI | Yeh Shu-Hua (Joshua) | *** See Remarks | M - OptEx | $0.00 | -5,000 | 0 | -100% | $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 | 2023-12-07 | F | D | 4,437 | $17.22 | 294,130 | D | — | — | (F1) Reflects "net exercise" of outstanding stock options. The reporting person received 563 shares of common stock on net exercise of option to purchase 5,000 shares of common stock. The Company withheld 4,437 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on December 6, 2023 of $17.22, pursuant to the terms of the 2013 Equity Incentive Plan. |
| 2 | Common | Common Stock, $.001 par value | 2023-12-07 | M | A | 5,000 | $13.84 | 298,567 | D | — | — | |
| 3 | Derivative | Non-Qualified Stock Option (Right to Buy) | 2023-12-07 | M | D | 5,000 | $0.00 | 0 | D | $13.84 · — to 2024-01-28 | 5,000 Common Stock, $0.001 par value | (F2) Options fully vested. |