SEC Form 4 · accession 0001019687-15-001565
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hung-Lun (Fred) Chang
Officer — *** See Remarks
Period of report
Apr 17, 2015
Accepted (ET)
Apr 21, 2015 · 4:52 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 17, 2015 | M | 2,167 | $6.00 | A | 7,167 | D | |
| Common Stock, $.001 par value | Apr 17, 2015 | M | 1,833 | $6.00 | A | 9,000 | D | |
| Common Stock, $.001 par valueF1,F2 | Apr 17, 2015 | S | 4,000 | $15.1856 | D | 5,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F3 | $6.00 | Apr 17, 2015 | M | 2,167 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 2,167 | 0 | D |
| Incentive Stock Option (Right to Buy)F3 | $6.00 | Apr 17, 2015 | M | 1,833 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 1,833 | 167 | D |
Explanation of responses
- F1Sales were effected pursuant to a Rule 10b5-1 trading plan dated March 5, 2015.
- F2The shares were sold in multiple transactions on April 17, 2015 at an actual sale price ranging from $14.87 to $15.10 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.
- F3Options fully vested.
Remarks
*** Senior Vice President of Optical Component Business Unit