Filing Details
- Accession Number:
- 0001683168-20-002643
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-12 16:01:19
- Reporting Period:
- 2020-08-10
- Accepted Time:
- 2020-08-12 16:01:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1587422 | C David Kuo | C/O Applied Optoelectronics, Inc. 13139 Jess Pirtle Blvd. Sugar Land TX 77478 | General Counsel And Secretary | 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 | 2020-08-10 | 1,000 | $15.82 | 60,567 | No | 4 | S | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2020-08-11 | 12,500 | $14.05 | 48,067 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.
- The shares were sold in multiple transactions on August 11, 2020 at an actual sale price ranging from $14.00 to $14.19 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.
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