SEC Form 4 · accession 0001019687-16-007137
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan J. Murry
Officer — Chief Financial Officer
Period of report
Aug 1, 2016
Accepted (ET)
Aug 9, 2016 · 7:11 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 | Aug 1, 2016 | S | 267 | $11.75 | D | 39,811 | D | |
| Common Stock, $.001 par valueF2 | Aug 5, 2016 | S | 1,058 | $14.2691 | D | 38,753 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sold pursuant to a 10b5-1 Plan adopted by the reporting person on 1/30/2015 to satisfy the tax withholding obligation on vesting restricted stock.
- F2Sold pursuant to a 10b5-1 Plan adopted by the reporting person on 2/4/2016 to satisfy the tax withholding obligation on vesting restricted stock.