Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2024-06-17 00:00:00 ET · period of report 2024-06-13 · accession 0001683168-24-004271 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2024-06-17 | 2024-06-13 | AAOI | Chang Hung-Lun (Fred) | *** See Remarks | D - Sale to Iss | $10.44 | -40.5K | 265.3K | -13% | -$422.4K | |
| 2024-06-17 | 2024-06-13 | AAOI | Chang Hung-Lun (Fred) | *** See Remarks | A - Grant | $0.00 | +80.9K | 305.7K | +36% | $0 | |
| 2024-06-17 | 2024-06-14 | AAOI | Chang Hung-Lun (Fred) | *** See Remarks | F - Tax | $10.44 | -15.6K | 249.7K | -6% | -$163.0K |
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 | 2024-06-13 | D | D | 40,455 | $10.44 | 265,277 | D | — | — | (F2) Consists of performance vesting restricted stock units settled in cash. |
| 2 | Common | Common Stock, $.001 par value | 2024-06-13 | A | A | 80,910 | $0.00 | 305,732 | D | — | — | (F1) Consists of shares earned in settlement of performance vesting restricted stock units for the 2021-2024 performance period that were settled in shares on a one-for-one basis for the target number of shares, and settled in cash for the remaining portion of the shares earned with respect to maximum performance. |
| 3 | Common | Common Stock, $.001 par value | 2024-06-14 | F | D | 15,614 | $10.44 | 249,663 | D | — | — | (F3) Consists of shares withheld to satisfy applicable tax withholding obligations. |