Filing Details
- Accession Number:
- 0001683168-20-002371
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-24 16:05:57
- Reporting Period:
- 2020-07-22
- Accepted Time:
- 2020-07-24 16:05:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1158114 | Applied Optoelectronics Inc. | AAOI | Semiconductors & Related Devices (3674) | 760533927 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1587600 | (Joshua) Shu-Hua Yeh | C/O Applied Optoelectronics, Inc. 13139 Jess Pirtle Blvd. Sugar Land TX 77478 | *** See Remarks | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $.001 Par Value | Disposition | 2020-07-22 | 737 | $13.93 | 154,521 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2020-07-22 | 629 | $13.93 | 153,892 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2020-07-22 | 404 | $13.93 | 153,488 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2020-07-22 | 1,647 | $13.93 | 151,841 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2020-07-22 | 2,000 | $15.01 | 149,841 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Footnotes
- Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 21, 2017.
- Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018.
- Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019.
- Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
- These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2020.
Billionaire Hedge Funds
