Min-Chu (Mike) Chen - Jun 11, 2021 Form 4 Insider Report for APPLIED OPTOELECTRONICS, INC. (AAOI)

Role
Director
Signature
/s/ David C. Kuo, attorney in fact for Min-Chu (Mike) Chen
Stock symbol
AAOI
Transactions as of
Jun 11, 2021
Transactions value $
$0
Form type
4
Date filed
6/15/2021, 04:33 PM
Next filing
Jun 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AAOI Common Stock, $.001 par value Award $0 +14.5K +29.13% $0.00 64.4K Jun 11, 2021 Direct F1, F2
holding AAOI Common Stock, $.001 par value 15K Jun 11, 2021 By Spouse F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2021 Board Compensation Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 3, 2021, until all shares have vested.
F2 1,914 shares are jointly held as community property under the name of the reporting person's spouse.
F3 Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein.