SEC Form 4 · accession 0001683168-17-000099
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
Jan 12, 2017
Accepted (ET)
Jan 17, 2017 · 4:01 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 | Jan 12, 2017 | A | 7,667 | $0.00 | A | 83,409 | D | |
| Common Stock, $.001 par value | Jan 12, 2017 | A | 6,000 | $0.00 | A | 89,409 | D | |
| Common Stock, $.001 par value | Jan 12, 2017 | A | 4,333 | $0.00 | A | 93,742 | D | |
| Common Stock, $.001 par value | Jan 12, 2017 | A | 13,000 | $0.00 | A | 106,742 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to buy)F1 | $6.00 | Jan 12, 2017 | M | 7,667 | D | — | Aug 23, 2020 | Common Stock, $0.001 par value | 7,667 | 0 | D |
| Non-Qualified Stock Option (Right to buy)F1 | $6.00 | Jan 12, 2017 | M | 6,000 | D | — | Mar 4, 2021 | Common Stock, $0.001 par value | 6,000 | 0 | D |
| Non-Qualified Stock Option (Right to buy)F1 | $6.00 | Jan 12, 2017 | M | 4,333 | D | — | May 22, 2022 | Common Stock, $0.001 par value | 4,333 | 0 | D |
| Non-Qualified Stock Option (Right to buy)F2 | $6.00 | Jan 12, 2017 | M | 13,000 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 13,000 | 5,000 | D |
Explanation of responses
- F1Option fully vested.
- F2The stock option grant vested as to 1/4th of the total number of shares on January 18, 2013 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semiannual installments until all shares have vested.
Remarks
*** Asia General Manager and Senior Vice President of Network Equipment Module Business Unit