SEC Form 4 · accession 0001019687-16-005398
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
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 4:35 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 | Mar 4, 2016 | S | 5,643 | $18.63 | D | 207,617 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold in multiple transactions on March 4, 2016 at an actual sale price ranging from $18.55 to $18.76 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.