0001974078-23-000286.txt : 20231214 0001974078-23-000286.hdr.sgml : 20231214 20231214173211 ACCESSION NUMBER: 0001974078-23-000286 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231214 DATE AS OF CHANGE: 20231214 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 231488101 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Yeh Shu-Hua (Joshua) CENTRAL INDEX KEY: 0001587600 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 144 1 primary_doc.xml 144 0001587600 XXXXXXXX LIVE 0001158114 APPLIED OPTOELECTRONICS, INC. 001-36083 13139 JESS PIRTLE BLVD SUGAR LAND TX 77478 281-295-1800 Yeh Shu-Hua (Joshua) Officer COMMON RAYMOND JAMES & ASSOCIATES INC

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42779 958022.87 43186192 12/14/2023 NASDAQ GM COMMON 07/22/2021 RSU VESTING ISSUER N 2210 07/22/2021 N/A COMMON 07/23/2021 RSU VESTING ISSUER N 2210 07/23/2021 N/A COMMON 10/22/2021 RSU VESTING ISSUER N 3661 10/22/2021 N/A COMMON 01/24/2022 RSU VESTING ISSUER N 3657 01/24/2022 N/A COMMON 04/22/2022 RSU VESTING ISSUER N 3656 04/22/2022 N/A COMMON 07/22/2022 RSU VESTING ISSUER N 6206 07/22/2022 N/A COMMON 07/25/2022 RSU VESTING ISSUER N 2561 07/25/2022 N/A COMMON 10/24/2022 RSU VESTING ISSUER N 6216 10/24/2022 N/A COMMON 01/23/2023 RSU VESTING ISSUER N 6211 01/23/2023 N/A COMMON 04/24/2023 RSU VESTING ISSUER N 6211 04/24/2023 N/A Y 12/14/2023 08/16/2023 MOHAMMED ALSHATRI, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for SHU-HUA YEH