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Ownership Document |
Schema Version: X0508 |
Document Type: 4 |
Period of Report: 4/22/24 |
Not Subject to Section 16: 0 |
Issuer: |
| Issuer CIK: 1158114 |
| Issuer Name: APPLIED OPTOELECTRONICS, INC. |
| Issuer Trading Symbol: AAOI |
Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1587420 |
| | Owner Name: Lin Chih-Hsiang (Thompson) |
| Reporting Owner Address: |
| | Owner Street 1: C/O APPLIED OPTOELECTRONICS, INC. |
| | Owner Street 2: 13139 JESS PIRTLE BLVD. |
| | Owner City: SUGAR LAND |
| | Owner State: TX |
| | Owner ZIP Code: 77478 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: President and CEO |
| | Other Text: |
Aff 10b5 One: 0 |
Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock, $.001 par value |
| | Transaction Date: |
| | | Value: 4/22/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 3,530 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 12.12 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,214,630 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock, $.001 par value |
| | Transaction Date: |
| | | Value: 4/22/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 5,066 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 12.12 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,209,564 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock, $.001 par value |
| | Transaction Date: |
| | | Value: 4/22/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 6,230 |
| Footnote ID: F2 |
| | | Transaction Price Per Share: |
| Value: 12.12 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,203,334 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock, $.001 par value |
| | Transaction Date: |
| | | Value: 4/22/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 9,933 |
| Footnote ID: F3 |
| | | Transaction Price Per Share: |
| Value: 12.12 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,193,401 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
Footnotes: |
| Footnote - F1: Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021. |
| Footnote - F2: Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022. |
| Footnote - F3: Reflected shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023. |
Owner Signature: |
| Signature Name: /s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin |
| Signature Date: 4/24/24 |