SEC Form 4 · accession 0001683168-19-000392
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shu-Hua (Joshua) Yeh
Officer — *** See Remarks
Period of report
Feb 12, 2019
Accepted (ET)
Feb 14, 2019 · 4:30 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 | Feb 12, 2019 | A | 15,340 | $0.00 | A | 105,559 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Restricted Stock Units (RSUs) were granted under the Company's 2013 Equity Incentive Plan, as amended. One-sixteen of the RSUs vest every three months commencing on January 21, 2019.
Remarks
*** Senior Vice President and Asia General Manager