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Yeh Shu-Hua (Joshua) – ‘4/A’ for 2/19/21 re: Applied Optoelectronics, Inc.

On:  Thursday, 3/11/21, at 4:06pm ET   ·   For:  2/19/21   ·   Accession #:  1683168-21-889   ·   File #:  1-36083

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

 3/11/21  Yeh Shu-Hua (Joshua)              4/A                    1:5K   Applied Optoelectronics, Inc.     GlobalOne Filings Inc/FA

Amendment to 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/A         Amendment to Statement of Changes in Beneficial     HTML      3K 
                Ownership of Securities by an Insider --                         
                ownership.xml/3.6


        

This ‘4/A’ 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
 
 
XML Data rendering:  Amendment to Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4/A </documentType>
<periodOfReport> 2021-02-19 </periodOfReport>
<dateOfOriginalSubmission> 2021-02-23 </dateOfOriginalSubmission>
<notSubjectToSection16> 0 </notSubjectToSection16>
<issuer>
<issuerCik> 0001158114 </issuerCik>
<issuerName> APPLIED OPTOELECTRONICS, INC. </issuerName>
<issuerTradingSymbol> AAOI </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001587600 </rptOwnerCik>
<rptOwnerName> Yeh Shu-Hua (Joshua) </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O APPLIED OPTOELECTRONICS, INC. </rptOwnerStreet1>
<rptOwnerStreet2> 13139 JESS PIRTLE BLVD. </rptOwnerStreet2>
<rptOwnerCity> SUGAR LAND </rptOwnerCity>
<rptOwnerState> TX </rptOwnerState>
<rptOwnerZipCode> 77478 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 1 </isOfficer>
<isTenPercentOwner> 0 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle> *** See Remarks </officerTitle>
<otherText></otherText>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock, $.001 par value </value>
</securityTitle>
<transactionDate>
<value> 2021-02-19 </value>
<footnoteId id="F1"/>
</transactionDate>
<deemedExecutionDate></deemedExecutionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> J </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
<footnoteId id="F1"/>
</transactionCoding>
<transactionTimeliness></transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 61562 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<footnoteId id="F1"/>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 141003 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<footnotes>
<footnote id="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. </footnote>
</footnotes>
<remarks> *** Senior Vice President and Asia General Manager </remarks>
<ownerSignature>
<signatureName> /s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh </signatureName>
<signatureDate> 2021-03-11 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001683168-21-000889   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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