SEC Form 4 · accession 0001683168-16-000730
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hung-Lun (Fred) Chang
Officer — *** See Remarks
Period of report
Nov 17, 2016
Accepted (ET)
Nov 18, 2016 · 6:59 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 17, 2016 | M | 3,924 | $6.00 | A | 26,726 | D | |
| Common Stock, $.001 par value | Nov 17, 2016 | M | 3,899 | $6.00 | A | 30,625 | D | |
| Common Stock, $.001 par valueF1 | Nov 17, 2016 | S | 10,000 | $25.7359 | D | 20,625 | 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)F2 | $6.00 | Nov 17, 2016 | M | 3,924 | D | — | Aug 23, 2020 | Common Stock, $0.001 par value | 3,924 | 0 | D |
| Incentive Stock Option (Right to Buy)F2 | $6.00 | Nov 17, 2016 | M | 3,899 | D | — | Mar 4, 2021 | Common Stock, $0.001 par value | 3,899 | 768 | D |
Explanation of responses
- F1The shares were sold in multiple transactions on November 17, 2016 at an actual sale price ranging from $25.60 to $25.85 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.
- F2Option fully vested.
Remarks
*** Senior Vice President of Optical Component Business Unit