SEC Form 4 · accession 0001683168-17-000382
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan J. Murry
Officer — Chief Financial Officer
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 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 | Feb 13, 2017 | M | 3,333 | $7.50 | A | 37,746 | D | |
| Common Stock, $.001 par value | Feb 13, 2017 | F | 1,052 | $32.66 | D | 36,694 | 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 | $7.50 | Feb 13, 2017 | M | 3,333 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 3,333 | 14,000 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 2,281 shares of common stock on net exercise of option to purchase 3,333 shares of common stock. The Company withheld 1,052 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on February 10, 2017 of $32.66, pursuant to the terms of the 2006 Stock Incentive Plan.
- F2Option fully vested.