0001683168-23-006287.txt : 20230905 0001683168-23-006287.hdr.sgml : 20230905 20230905190949 ACCESSION NUMBER: 0001683168-23-006287 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230831 FILED AS OF DATE: 20230905 DATE AS OF CHANGE: 20230905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murry Stefan J. CENTRAL INDEX KEY: 0001587599 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 231237445 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 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 X0508 4 2023-08-31 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587599 Murry Stefan J. C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 Chief Financial Officer 0 Common Stock, $.001 par value 2023-08-31 4 M 0 11000 9.96 A 233130 D Common Stock, $.001 par value 2023-08-31 4 F 0 8167 15.22 D 224963 D Incentive Stock Option (Right to Buy) 9.96 2023-08-31 4 M 0 11000 0 D 2023-09-26 Common Stock, $0.001 par value 11000 0 D Reflects "net exercise" of outstanding stock options. The reporting person received 2,833 shares of common stock on net exercise of option to purchase 11,000 shares of common stock. The Company withheld 8,167 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 30, 2023 of $15.22, pursuant to the terms of the 2013 Equity Incentive Plan. Options fully vested. /s/ David C. Kuo, attorney in fact for Stefan J. Murry 2023-09-05