SEC Form 4 · accession 0001683168-16-000736
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
Nov 17, 2016
Accepted (ET)
Nov 18, 2016 · 7:06 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 valueF1 | Nov 17, 2016 | S | 30,000 | $25.7359 | D | 75,742 | D |
Table II — derivative securities
No Table II lines on this filing.
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.
Remarks
*** Asia General Manager and Senior Vice President of Network Equipment Module Business Unit