0001683168-24-004270.txt : 20240617 0001683168-24-004270.hdr.sgml : 20240617 20240617160205 ACCESSION NUMBER: 0001683168-24-004270 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240613 FILED AS OF DATE: 20240617 DATE AS OF CHANGE: 20240617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kuo David C CENTRAL INDEX KEY: 0001587422 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 241048140 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] 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 2024-06-13 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 *** See Remarks 0 Common Stock, $.001 par value 2024-06-13 4 A 0 50568 0.00 A 183041 D Common Stock, $.001 par value 2024-06-13 4 D 0 25284 10.44 D 157757 D Common Stock, $.001 par value 2024-06-14 4 F 0 9774 10.44 D 147983 D Consists of shares earned in settlement of performance vesting restricted stock units for the 2021-2024 performance period that were settled in shares on a one-for-one basis for the target number of shares, and settled in cash for the remaining portion of the shares earned with respect to maximum performance. Consists of performance vesting restricted stock units settled in cash. Consists of shares withheld to satisfy applicable tax withholding obligations. *** Senior Vice President and Chief Legal Officer /s/ David C. Kuo 2024-06-17