SEC Form 4 · accession 0001683168-16-000114
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
Sep 12, 2016
Accepted (ET)
Sep 14, 2016 · 5:43 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 | Sep 12, 2016 | S | 3,660 | $19.0502 | D | 35,093 | 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 8/9/2016.
- F2The shares were sold in multiple transactions on September 12, 2016 at an actual sale price ranging from $19.00 to $19.15 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.