SEC Form 4/A · accession 0001019687-16-005534
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Hung-Lun (Fred) Chang
Officer — *** See Remarks
Period of report
Mar 14, 2016
Accepted (ET)
Mar 21, 2016 · 6:04 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, $.001 par valueF1 | Mar 14, 2016 | M | 462 | $6.00 | A | 25,252 | D | |
| Common Stock, $.001 par valueF1 | Mar 14, 2016 | M | 167 | $6.00 | A | 25,085 | D | |
| Common Stock, $.001 par valueF1 | Mar 14, 2016 | M | 1,335 | $6.00 | A | 23,750 | 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,F2 | $6.00 | Mar 14, 2016 | M | 462 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 462 | 0 | D |
| Incentive Stock Option (Right to Buy)F1,F2 | $6.00 | Mar 14, 2016 | M | 167 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 167 | 0 | D |
| Incentive Stock Option (Right to Buy)F1,F2 | $6.00 | Mar 14, 2016 | M | 1,335 | D | — | Aug 23, 2020 | Common Stock, $0.001 par value | 1,335 | 4,665 | D |
Explanation of responses
- F1These shares were inadvertently omitted from the reporting person's Form 4 filed on March 16, 2016.
- F2Options fully vested.
Remarks
*** Senior Vice President of Optical Component Business Unit