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