SEC Form 4 · accession 0001019687-16-006964
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shu-Hua (Joshua) Yeh
Officer — *** See Remarks
Period of report
Jul 14, 2016
Accepted (ET)
Jul 18, 2016 · 5:12 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 | Jul 14, 2016 | A | 2,667 | $0.00 | A | 100,408 | D | |
| Common Stock, $.001 par value | Jul 15, 2016 | A | 2,667 | $0.00 | A | 103,075 | 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 | Jul 14, 2016 | M | 2,667 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 2,667 | 0 | D |
| Non-Qualified Stock Option (Right to Buy)F1 | $6.00 | Jul 15, 2016 | M | 2,667 | D | — | Oct 19, 2019 | Common Stock, $0.001 par value | 2,667 | 0 | D |
Explanation of responses
- F1Options fully vested.
Remarks
*** Asia General Manager and Senior Vice President of Network Equipment Module Business Unit