SEC Form 4 · accession 0001019687-16-006621
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
Jun 6, 2016
Accepted (ET)
Jun 8, 2016 · 5:14 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,F2 | Jun 6, 2016 | A | 7,011 | $0.00 | A | 20,273 | D | |
| Common Stock, $.001 par valueF3 | holding | — | — | — | 20,000 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2016 Board Compensation Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on June 27, 2016, until all shares have vested.
- F21,914 shares are jointly held as community property under the name of the reporting person's spouse.
- F3Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen.