Kuo David C's Form 4 filing
Applied Optoelectronics, Inc. (AAOI) · filed Dec 12, 2022
- Accession no.
- 0001683168-22-008358
- Filed
- Dec 12, 2022
- Trade date
- Dec 8-12, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $41.5K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kuo David CCIK 0001587422 | Officer (General Counsel and Secretary) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2022 | Common Stock, $.001 par value | SSaleDisposed | −9,027 | $2.16 | −$19,498.32 | 116,799 | Direct | |
| Dec 9, 2022 | Common Stock, $.001 par value | SSaleDisposed | −5,569 | $2.17 | −$12,084.73 | 111,230 | Direct | |
| Dec 12, 2022 | Common Stock, $.001 par value | SSaleDisposed | −4,581 | $2.16 | −$9,894.96 | 106,649 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.