SEC Form 4 · accession 0001019687-15-001539
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chung-Yao (Ford) Li
Other
Period of report
Apr 16, 2015
Accepted (ET)
Apr 20, 2015 · 4:03 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 value | Apr 16, 2015 | M | 3,833 | $7.50 | A | 3,833 | D | |
| Common Stock, $.001 par value | Apr 16, 2015 | M | 833 | $6.00 | A | 4,666 | D | |
| Common Stock, $.001 par value | Apr 16, 2015 | M | 5,834 | $6.00 | A | 10,500 | D | |
| Common Stock, $.001 par value | Apr 16, 2015 | M | 1,250 | $9.96 | A | 11,750 | D | |
| Common Stock, $.001 par value | Apr 17, 2015 | M | 1,000 | $13.84 | A | 12,750 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option(Right to Buy)F1 | $7.50 | Apr 16, 2015 | M | 3,833 | D | — | May 8, 2015 | Common Stock, $.001 par value | 3,833 | 0 | D |
| Non-Qualified Stock Option(Right to Buy)F2 | $6.00 | Apr 16, 2015 | M | 833 | D | — | May 8, 2015 | Common Stock, $.001 par value | 833 | 0 | D |
| Non-Qualified Stock Option(Right to Buy)F3 | $6.00 | Apr 16, 2015 | M | 5,834 | D | — | May 8, 2015 | Common Stock, $.001 par value | 5,834 | 0 | D |
| Non-Qualified Stock Option(Right to Buy)F4 | $9.96 | Apr 16, 2015 | M | 1,250 | D | — | May 8, 2015 | Common Stock, $.001 par value | 1,250 | 0 | D |
| Non-Qualified Stock Option(Right to Buy)F5 | $13.84 | Apr 17, 2015 | M | 1,000 | D | — | May 8, 2015 | Common Stock, $.001 par value | 1,000 | 0 | D |
Explanation of responses
- F1The stock option grant vested as to 1/4th of the total number of shares on January 18, 2013 and thereafter vested 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.
- F2The stock option grant vested as to 1/4th of the total number of shares on May 22, 2012 and thereafter vested 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.
- F3The stock option grant vests as to 1/4th of the total number of shares on August 12, 2011 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.
- F4The stock option grant vests as to 1/4th of the total number of shares on September 26, 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.
- F5The stock option grant vests as to 1/4th of the total number of shares on January 28, 2014 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.