SEC Form 4 · accession 0001019687-15-001355
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shu-Hua (Joshua) Yeh
Officer — *** See Remarks
Period of report
Apr 6, 2015
Accepted (ET)
Apr 8, 2015 · 4:13 pm EDT
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, $.001 par valueF1,F2 | Apr 6, 2015 | S | 7,000 | $13.3899 | D | 72,741 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sales were effected pursuant to a Rule 10b5-1 trading plan dated March 6, 2015.
- F2The shares were sold in multiple transactions on April 6, 2015 at an actual sale price ranging from $13.29 to $13.50 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Remarks
*** Asia General Manager and Senior Vice President of Network Equipment Module Business Unit