SEC Form 4 · accession 0001019687-15-000421
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Klaus Alexander Anselm
Officer — VP Semiconductor Products
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 4:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001158114
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 30, 2015 | A | 4,000 | $0.00 | A | 10,089 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were granted in the form of Restricted Stock Awards (RSA's). The grant vests as to 1/4th of the total number of shares on January 30, 2016 and thereafter vests and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested.