SEC Form 4 · accession 0001019687-15-003875
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan J. Murry
Officer — Chief Financial Officer
Period of report
Oct 29, 2015
Accepted (ET)
Nov 2, 2015 · 7:16 pm EST
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 | Oct 29, 2015 | M | 1,444 | $6.00 | A | 10,989 | D | |
| Common Stock, $.001 par value | Oct 29, 2015 | F | 535 | $21.30 | D | 10,454 | D | |
| Common Stock, $.001 par value | Oct 29, 2015 | M | 2,000 | $6.00 | A | 12,454 | D | |
| Common Stock, $.001 par value | Oct 29, 2015 | F | 741 | $21.30 | D | 11,713 | 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 29, 2015 | M | 1,444 | D | — | Oct 19, 2019 | Common Stock, $.001 par value | 1,444 | 0 | D |
| Incentive Stock Option (Right to Buy)F1 | $6.00 | Oct 29, 2015 | M | 2,000 | D | — | Aug 23, 2020 | Common Stock, $.001 par value | 2,000 | 5,667 | D |
Explanation of responses
- F1Options fully vested
- F2Represents a "net exercise" of outstanding stock options. The reporting person received 909 shares of common stock on net exercise of option to purchase 1,444 shares of common stock. The Company withheld 535 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 28, 2015 of $21.30, pursuant to the terms of the 2006 Stock Incentive Plan.
- F3Represents a "net exercise" of outstanding stock options. The reporting person received 1,259 shares of common stock on net exercise of option to purchase 2,000 shares of common stock. The Company withheld 741 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 28, 2015 of $21.30, pursuant to the terms of the 2006 Stock Incentive Plan.