SEC Form 4 · accession 0001019687-16-005077
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Klaus Alexander Anselm
Officer — VP Semiconductor Products
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 5:02 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 valueF1 | Feb 4, 2016 | A | 11,800 | $0.00 | A | 21,523 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were granted in the form of Restricted Stock Units Award (RSUs). The grant vests as to 1/8th of the total number of shares every six calendar months starting on February 4, 2017 until all shares have vested.