SEC Form 4 · accession 0001019687-16-006226
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
Stefan J. Murry
Officer — Chief Financial Officer
Period of report
May 11, 2016
Accepted (ET)
May 12, 2016 · 4:30 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 | 1,000 | $6.00 | D | 40,078 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F1 | $6.00 | May 11, 2016 | M | 1,000 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 1,000 | 222 | D |
Explanation of responses
- F1Options fully vested