0001683168-24-000422.txt : 20240124 0001683168-24-000422.hdr.sgml : 20240124 20240124160108 ACCESSION NUMBER: 0001683168-24-000422 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240122 FILED AS OF DATE: 20240124 DATE AS OF CHANGE: 20240124 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: 24556384 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 2024-01-22 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 0 Common Stock, $.001 par value 2024-01-22 4 F 0 1578 15.81 D 214981 D Common Stock, $.001 par value 2024-01-22 4 F 0 1080 15.81 D 213901 D Common Stock, $.001 par value 2024-01-22 4 F 0 1596 15.81 D 212305 D Common Stock, $.001 par value 2024-01-22 4 F 0 1906 15.81 D 210399 D Common Stock, $.001 par value 2024-01-22 4 F 0 2990 15.81 D 207409 D Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022. Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023. *** Senior Vice President and North America General Manager /s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang 2024-01-24