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Yeh Shu-Hua (Joshua) – ‘4’ for 1/22/24 re: Applied Optoelectronics, Inc.

On:  Wednesday, 1/24/24, at 4:02pm ET   ·   For:  1/22/24   ·   As:  Officer   ·   Accession #:  1683168-24-426   ·   File #:  1-36083

Previous ‘4’:  ‘4’ on 12/18/23 for 12/14/23   ·   Next & Latest:  ‘4’ on 4/24/24 for 4/22/24

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/24/24  Yeh Shu-Hua (Joshua)              4          Officer     1:9K   Applied Optoelectronics, Inc.     GlobalOne Filings Inc/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     10K 
                Securities by an Insider -- ownership.xml/5.8


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  1/22/24
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:  1587600
Owner Name:  Yeh Shu-Hua (Joshua)
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?  No
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  *** See Remarks
Other Text:
Aff 10b5 One:  0
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock, $.001 par value
Transaction Date:
Value:  1/22/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  1,667
Footnote ID:  F1
Transaction Price Per Share:
Value:  15.81
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  249,664
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock, $.001 par value
Transaction Date:
Value:  1/22/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  1,076
Footnote ID:  F2
Transaction Price Per Share:
Value:  15.81
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  248,588
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock, $.001 par value
Transaction Date:
Value:  1/22/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  1,637
Footnote ID:  F2
Transaction Price Per Share:
Value:  15.81
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  246,951
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock, $.001 par value
Transaction Date:
Value:  1/22/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  1,899
Footnote ID:  F3
Transaction Price Per Share:
Value:  15.81
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  245,052
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock, $.001 par value
Transaction Date:
Value:  1/22/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  2,554
Footnote ID:  F4
Transaction Price Per Share:
Value:  15.81
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  242,498
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on February 3, 2020.
Footnote - F2:  Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 11, 2021.
Footnote - F3:  Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 27, 2022.
Footnote - F4:  Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock unit award granted on June 26, 2023.
Remarks:  *** Senior Vice President and Asia General Manager
Owner Signature:
Signature Name:  /s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh
Signature Date:  1/24/24


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