SEC Form 4 · accession 0001019687-15-004215
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
Nov 16, 2015
Accepted (ET)
Nov 18, 2015 · 4:10 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 valueF2 | Nov 16, 2015 | P | 6,000 | $16.50 | A | 10,000 | 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.