0001683168-23-006433.txt : 20230914
0001683168-23-006433.hdr.sgml : 20230914
20230914160107
ACCESSION NUMBER: 0001683168-23-006433
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230912
FILED AS OF DATE: 20230914
DATE AS OF CHANGE: 20230914
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Yeh Shu-Hua (Joshua)
CENTRAL INDEX KEY: 0001587600
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36083
FILM NUMBER: 231255111
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
2023-09-12
0
0001158114
APPLIED OPTOELECTRONICS, INC.
AAOI
0001587600
Yeh Shu-Hua (Joshua)
C/O APPLIED OPTOELECTRONICS, INC.
13139 JESS PIRTLE BLVD.
SUGAR LAND
TX
77478
0
1
0
0
*** See Remarks
0
Common Stock, $.001 par value
2023-09-12
4
M
0
12000
9.96
A
313404
D
Common Stock, $.001 par value
2023-09-12
4
F
0
11000
11.65
D
302404
D
Non-Qualified Stock Option (Right to Buy)
9.96
2023-09-12
4
M
0
12000
0
D
2023-09-26
Common Stock, $0.001 par value
12000
0
D
Reflects "net exercise" of outstanding stock options. The reporting person received 1,000 shares of common stock on net exercise of option to purchase 12,000 shares of common stock. The Company withheld 11,000 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on September 11, 2023 of $11.65, pursuant to the terms of the 2013 Equity Incentive Plan.
Options fully vested.
*** Senior Vice President and Asia General Manager
/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh
2023-09-14