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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4/A |
| Period of Report: 2/19/21 |
| Date of Original Submission: 2/23/21 |
| 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: |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock, $.001 par value |
| | Transaction Date: |
| | | Value: 2/19/21 |
| | | Footnote ID: F1 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: J |
| | | Equity Swap Involved? No |
| | | Footnote ID: F1 |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 61,562 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Footnote ID: F1 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 141,003 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: On March 11, 2021, the Compensation Committee of the Company's Board of Directors rescinded its approval of the previously reported grant of Restricted Stock Units (RSUs) under the Company's 2013 Equity Incentive Plan, as amended, which the committee had approved in error, and voided and fully unwound such grant of RSUs effective as of February 19, 2021. |
| 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: 3/11/21 |
