SEC Form 4 · accession 0001019687-16-006493
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Min-Chu (Mike) Chen
Director
Period of report
May 25, 2016
Accepted (ET)
May 27, 2016 · 4:06 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 valueF2 | May 25, 2016 | P | 5,000 | $10.00 | A | 15,000 | I | By Spouse |
| Common Stock, $.001 par valueF2 | May 27, 2016 | P | 5,000 | $9.95 | A | 20,000 | I | By Spouse |
| Common Stock, $.001 par valueF1 | holding | — | — | — | 13,262 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,914 shares are jointly held as community property under the name of the reporting person's spouse
- F2Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen.