0001683168-20-002643.txt : 20200812 0001683168-20-002643.hdr.sgml : 20200812 20200812160119 ACCESSION NUMBER: 0001683168-20-002643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200810 FILED AS OF DATE: 20200812 DATE AS OF CHANGE: 20200812 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: 201095428 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 2020-08-10 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 2020-08-10 4 S 0 1000 15.82 D 60567 D Common Stock, $.001 par value 2020-08-11 4 S 0 12500 14.0484 D 48067 D These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019. The shares were sold in multiple transactions on August 11, 2020 at an actual sale price ranging from $14.00 to $14.19 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction. /s/ David C. Kuo 2020-08-12