SEC Form 4 · accession 0001019687-15-003077
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Min-Chu (Mike) Chen
Director
Period of report
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 4:33 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 valueF2 | Aug 10, 2015 | S | 1,000 | $22.01 | D | 4,000 | I | By Spouse |
| Common Stock, $.001 par valueF1 | holding | — | — | — | 13,262 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,914 shares are jointly held as community property under the name of the reporting person's spouse.
- F2Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein.