Form Type: 4

SEC EDGAR Link
Accession Number:0001683168-20-001279
Date:2020-04-22
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
Original Submission Date:

Reporting Person:

YEH SHU-HUA (JOSHUA)
C/O APPLIED OPTOELECTRONICS, INC.
13139 JESS PIRTLE BLVD. SUGAR LAND, TX 77478

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, $.001 PAR VALUE 2020-04-22 F 737 d $8.28 157,940 direct
COMMON STOCK, $.001 PAR VALUE 2020-04-22 F 630 d $8.28 157,310 direct
COMMON STOCK, $.001 PAR VALUE 2020-04-22 F 405 d $8.28 156,905 direct
COMMON STOCK, $.001 PAR VALUE 2020-04-22 F 1,647 d $8.28 155,258 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 reflects shares surrendered to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on february 21, 2017.
f2 reflects shares surrendered to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on february 6, 2018.
f3 reflects shares surrendered to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on february 12, 2019.
f4 reflects shares surrendered to the issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on february 3, 2020.
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