0001683168-24-000147.txt : 20240109 0001683168-24-000147.hdr.sgml : 20240109 20240109160125 ACCESSION NUMBER: 0001683168-24-000147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240105 FILED AS OF DATE: 20240109 DATE AS OF CHANGE: 20240109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chang Hung-Lun (Fred) CENTRAL INDEX KEY: 0001587462 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 24523222 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] ORGANIZATION NAME: 04 Manufacturing 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 2024-01-05 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 0 Common Stock, $.001 par value 2024-01-05 4 M 0 1100 13.84 A 217481 D Common Stock, $.001 par value 2024-01-05 4 F 0 922 18.53 D 216559 D Incentive Stock Option (Right to Buy) 13.84 2024-01-05 4 M 0 1100 0.00 D 2024-01-28 Common Stock, $0.001 par value 1100 0 D Reflects "net exercise" of outstanding stock options. The reporting person received 178 shares of common stock on net exercise of option to purchase 1,100 shares of common stock. The Company withheld 922 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on January 4, 2024 of $18.53, pursuant to the terms of the 2013 Equity Incentive Plan. Options fully vested. *** Senior Vice President and North America General Manager /s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang 2024-01-09