SEC Form 4 · accession 0001683168-18-003136
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chih-Hsiang (Thompson) Lin
Officer — President and CEO · Director
Period of report
Oct 22, 2018
Accepted (ET)
Oct 24, 2018 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001158114
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.001 par valueF1 | Oct 22, 2018 | F | 2,951 | $21.91 | D | 674,536 | D | |
| Common Stock, $.001 par valueF2 | Oct 22, 2018 | F | 2,803 | $21.91 | D | 671,733 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 21, 2017.
- F2Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018.