SEC Form 4 · accession 0001019687-16-006225
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Chih-Hsiang (Thompson) Lin
Officer — President and CEO · Director
Period of report
May 11, 2016
Accepted (ET)
May 12, 2016 · 4:29 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 value | May 11, 2016 | M | 2,514 | $6.00 | D | 210,131 | D | |
| Common Stock, $.001 par value | May 11, 2016 | M | 8,167 | $6.00 | D | 215,784 | 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 | May 11, 2016 | M | 2,514 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 2,514 | 0 | D |
| Incentive Stock Option (Right to Buy)F1 | $6.00 | May 11, 2016 | M | 8,167 | D | — | Aug 23, 2020 | Common Stock, $0.001 par value | 8,167 | 20,000 | D |
Explanation of responses
- F1Options fully vested