SEC Form 4 · accession 0001683168-19-000181
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Kuo
Officer — General Counsel and Secretary
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 4:09 pm EST
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 | Jan 22, 2019 | F | 404 | $16.59 | D | 28,991 | D | |
| Common Stock, $.001 par valueF2 | Jan 22, 2019 | F | 344 | $16.59 | D | 28,647 | 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.