0001683168-19-001160.txt : 20190423 0001683168-19-001160.hdr.sgml : 20190423 20190423160535 ACCESSION NUMBER: 0001683168-19-001160 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190422 FILED AS OF DATE: 20190423 DATE AS OF CHANGE: 20190423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kuo David C CENTRAL INDEX KEY: 0001587422 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 19761619 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 X0306 4 2019-04-22 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587422 Kuo David C C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 General Counsel and Secretary Common Stock, $.001 par value 2019-04-22 4 F 0 354 12.59 D 36392 D Common Stock, $.001 par value 2019-04-22 4 F 0 301 12.59 D 36091 D Common Stock, $.001 par value 2019-04-22 4 F 0 202 12.59 D 35889 D Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 21, 2017. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 6, 2018. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 12, 2019. /s/ David C. Kuo 2019-04-23