Accession Number: | 0001683168-20-001279 |
Date: | 2020-04-22 |
Issuer: | APPLIED OPTOELECTRONICS, INC. (AAOI) |
Original Submission Date: |
YEH SHU-HUA (JOSHUA)
C/O APPLIED OPTOELECTRONICS, INC.
13139 JESS PIRTLE BLVD.
SUGAR LAND, TX 77478
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |