SEC Form 4 · accession 0001019687-15-000741
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chih-Hsiang (Thompson) Lin
Officer — President and CEO · Director
Period of report
Feb 25, 2015
Accepted (ET)
Feb 26, 2015 · 6:07 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, $0.001 par value | Feb 25, 2015 | M | 5,000 | $7.50 | A | 98,437 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NonQualified Stock Option (Right to Buy)F1 | $7.50 | Feb 25, 2015 | M | 5,000 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 5,000 | 50,237 | D |
Explanation of responses
- F1The stock option grant vests as to 1/4th of the total number of shares on January 13, 2013 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.