0001683168-21-000256.txt : 20210126 0001683168-21-000256.hdr.sgml : 20210126 20210126160152 ACCESSION NUMBER: 0001683168-21-000256 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210122 FILED AS OF DATE: 20210126 DATE AS OF CHANGE: 20210126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chang Hung-Lun (Fred) CENTRAL INDEX KEY: 0001587462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 21554042 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER NAME: FORMER CONFORMED NAME: Chang Hung-Lun Fred DATE OF NAME CHANGE: 20130923 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 2021-01-22 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587462 Chang Hung-Lun (Fred) C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 *** See Remarks Common Stock, $.001 par value 2021-01-22 4 F 0 700 10.49 D 96164 D Common Stock, $.001 par value 2021-01-22 4 F 0 617 10.49 D 95547 D Common Stock, $.001 par value 2021-01-22 4 F 0 388 10.49 D 95159 D Common Stock, $.001 par value 2021-01-22 4 F 0 1588 10.49 D 93571 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. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020. *** Senior Vice President and North America General Manager /s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang 2021-01-26