Kuo David C's Form 4 filing
Applied Optoelectronics, Inc. (AAOI) · filed Nov 12, 2024
- Accession no.
- 0001683168-24-007918
- Filed
- Nov 12, 2024
- Trade date
- Nov 8-12, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market sales total $450.4K. 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 (*** See Remarks) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2024 | Common Stock, $.001 par value | SSaleDisposed | −10,000 | $26.93 | −$269,300 | 118,122 | Direct | |
| Nov 12, 2024 | Common Stock, $.001 par value | SSaleDisposed | −6,267 | $28.89 | −$181,053.63 | 111,855 | 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.
Remarks
***Senior Vice President and Chief Legal Officer