0001683168-22-004686.txt : 20220629 0001683168-22-004686.hdr.sgml : 20220629 20220629162705 ACCESSION NUMBER: 0001683168-22-004686 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220627 FILED AS OF DATE: 20220629 DATE AS OF CHANGE: 20220629 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLACK RICHARD B CENTRAL INDEX KEY: 0001199697 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 221054959 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED OPTOELECTRONICS, INC. CENTRAL INDEX KEY: 0001158114 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 760533927 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 BUSINESS PHONE: 281-295-1800 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER COMPANY: FORMER CONFORMED NAME: APPLIED OPTOELECTRONICS INC DATE OF NAME CHANGE: 20010824 4 1 ownership.xml X0306 4 2022-06-27 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001199697 BLACK RICHARD B C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 1 0 0 0 Common Stock, $.001 par value 2022-06-27 4 A 0 52995 0.00 A 130405 D Common Stock, $.001 par value 8162 I By Trust for Spouse These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2022 Board Compensation Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 2, 2022, until all shares have vested. Shares held by Heather Bilandic Black Ttee dtd, of which Mr. Black's spouse is the trustee and beneficial owner. /s/ David C. Kuo, attorney in fact for Richard B. Black 2022-06-29