SEC Form 4 · accession 0001683168-17-000434
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
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 5:06 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 | Feb 21, 2017 | A | 26,000 | $0.00 | A | 45,286 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Restricted Stock Units (RSUs) were granted under the Company's 2013 Equity Incentive Plan, as amended, and one-eighth of the RSUs vest every six months commencing on January 21, 2017.
Remarks
*** Senior Vice President of Optical Component Business Unit