SEC Form 4 · accession 0001683168-16-000689
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Kuo
Officer — General Counsel and Secretary
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 4:00 pm EST
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 | Nov 14, 2016 | M | 63 | $6.00 | A | 14,739 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | F | 16 | $24.60 | D | 14,723 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | M | 167 | $6.00 | A | 14,890 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | F | 41 | $24.60 | D | 14,849 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | M | 208 | $6.00 | A | 15,057 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | F | 51 | $24.60 | D | 15,006 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | M | 2,187 | $7.50 | A | 17,193 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | F | 658 | $24.60 | D | 16,535 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | M | 3,037 | $9.96 | A | 19,572 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | F | 1,212 | $24.60 | D | 18,360 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | M | 1,500 | $13.84 | A | 19,860 | D | |
| Common Stock, $.001 par value | Nov 14, 2016 | F | 832 | $24.60 | D | 19,028 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F7 | $6.00 | Nov 14, 2016 | M | 63 | D | — | Aug 23, 2020 | Common Stock, $0.001 par value | 63 | 0 | D |
| Incentive Stock Option (Right to Buy)F7 | $6.00 | Nov 14, 2016 | M | 167 | D | — | Mar 4, 2021 | Common Stock, $0.001 par value | 167 | 0 | D |
| Incentive Stock Option (Right to Buy)F7 | $6.00 | Nov 14, 2016 | M | 208 | D | — | May 22, 2022 | Common Stock, $0.001 par value | 208 | 0 | D |
| Incentive Stock Option (Right to Buy) | $7.50 | Nov 14, 2016 | M | 2,187 | D | Jan 18, 2014 | Jan 18, 2023 | Common Stock, $0.001 par value | 2,187 | 438 | D |
| Incentive Stock Option (Right to Buy) | $9.96 | Nov 14, 2016 | M | 3,037 | D | Sep 26, 2014 | Sep 26, 2023 | Common Stock, $0.001 par value | 3,037 | 1,013 | D |
| Incentive Stock Option (Right to Buy) | $13.84 | Nov 14, 2016 | M | 1,500 | D | Jan 28, 2015 | Jan 28, 2024 | Common Stock, $0.001 par value | 1,500 | 900 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 47 shares of common stock on net exercise of option to purchase 63 shares of common stock. The Company withheld 16 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 14, 2016 of $24.60, pursuant to the terms of the 2006 Stock Incentive Plan.
- F2Represents a "net exercise" of outstanding stock options. The reporting person received 126 shares of common stock on net exercise of option to purchase 167 shares of common stock. The Company withheld 41 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 14, 2016 of $24.60, pursuant to the terms of the 2006 Stock Incentive Plan.
- F3Represents a "net exercise" of outstanding stock options. The reporting person received 157 shares of common stock on net exercise of option to purchase 208 shares of common stock. The Company withheld 51 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 14, 2016 of $24.60, pursuant to the terms of the 2006 Stock Incentive Plan.
- F4Represents a "net exercise" of outstanding stock options. The reporting person received 1,529 shares of common stock on net exercise of option to purchase 2,187 shares of common stock. The Company withheld 658 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 14, 2016 of $24.60, pursuant to the terms of the 2006 Stock Incentive Plan.
- F5Represents a "net exercise" of outstanding stock options. The reporting person received 1,825 shares of common stock on net exercise of option to purchase 3,037 shares of common stock. The Company withheld 1,212 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 14, 2016 of $24.60, pursuant to the terms of the 2013 Equity Incentive Plan.
- F6Represents a "net exercise" of outstanding stock options. The reporting person received 668 shares of common stock on net exercise of option to purchase 1,500 shares of common stock. The Company withheld 832 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 14, 2016 of $24.60, pursuant to the terms of the 2013 Equity Incentive Plan.
- F7Option fully vested.