Filing Details

Accession Number:
0001683168-23-000246
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-01-19 18:59:55
Reporting Period:
2023-01-17
Accepted Time:
2023-01-19 18:59:55
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
1587599 J. Stefan Murry C/O Applied Optoelectronics, Inc.
13139 Jess Pirtle Blvd.
Sugar Land TX 77478
Chief Financial Officer 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 2023-01-17 1,300 $2.51 205,130 No 4 S Direct
Common Stock, $.001 Par Value Disposition 2023-01-18 3,100 $2.50 202,030 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Footnotes
  1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 16, 2022. The shares were sold in multiple transactions on January 17, 2023 at actual sale prices ranging from $2.50 to $2.53 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.
  2. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 16, 2022. The shares were sold in multiple transactions on January 18, 2023 at actual sale prices ranging from $2.50 to $2.53 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.