0001683168-22-004688.txt : 20220629 0001683168-22-004688.hdr.sgml : 20220629 20220629162742 ACCESSION NUMBER: 0001683168-22-004688 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: Chen Min-Chu (Mike) CENTRAL INDEX KEY: 0001587425 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 221054965 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER NAME: FORMER CONFORMED NAME: Chen Min-Chu Mike DATE OF NAME CHANGE: 20130923 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 0001587425 Chen Min-Chu (Mike) 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 117436 D Common Stock, $.001 par value 15000 I By 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. 1,914 shares are jointly held as community property under the name of the reporting person's spouse. Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein. /s/ David C. Kuo, attorney in fact for Min-Chu (Mike) Chen 2022-06-29