SEC Form 4 · accession 0001019687-15-003868
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
Oct 28, 2015
Accepted (ET)
Oct 30, 2015 · 6:31 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, $0.001 par value | Oct 28, 2015 | M | 5,833 | $6.00 | A | 104,270 | D | |
| Common Stock, $0.001 par value | Oct 28, 2015 | F | 2,247 | $20.45 | D | 102,023 | D | |
| Common Stock, $0.001 par value | Oct 28, 2015 | M | 2,000 | $6.00 | A | 104,023 | D | |
| Common Stock, $0.001 par value | Oct 28, 2015 | F | 771 | $20.45 | D | 103,252 | 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)F1 | $6.00 | Oct 28, 2015 | M | 5,833 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 5,833 | 0 | D |
| Incentive Stock Option (Right to BuyF1 | $6.00 | Oct 28, 2015 | M | 2,000 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 2,000 | 2,514 | D |
Explanation of responses
- F1Options fully vested
- F2Represents a "net exercise" of outstanding stock options. The reporting person received 3,586 shares of common stock on net exercise of option to purchase 5,833 shares of common stock. The Company withheld 2,247 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 27, 2015 of $20.45, pursuant to the terms of the 2006 Stock Incentive Plan.
- F3Represents a "net exercise" of outstanding stock options. The reporting person received 1,229 shares of common stock on net exercise of option to purchase 2,000 shares of common stock. The Company withheld 771 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 27, 2015 of $20.45, pursuant to the terms of the 2006 Stock Incentive Plan.