SEC Form 4 · accession 0001683168-17-000114
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Black
Director
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 4:15 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 17, 2017 | A | 1,250 | $0.00 | A | 43,242 | D | |
| Common Stock, $.001 par valueF1 | holding | — | — | — | 8,162 | I | By Trust for Spouse |
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)F2 | $6.00 | Jan 17, 2017 | M | 1,250 | D | — | Nov 13, 2022 | Common Stock, $0.001 par value | 1,250 | 0 | D |
Explanation of responses
- F1Shares are held by Heather Bilandic Black Ttee dtd, of which Mr. Black's spouse is the trustee and beneficial owner.
- F2Option fully vested.