SEC Form 4 · accession 0001683168-17-000476
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William H Yeh
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 4:05 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,F2 | Feb 28, 2017 | S | 37,664 | $47.1511 | D | 81,167 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F117,664 shares are jointly held as community property under the name of the reporting person's spouse.
- F2The shares were sold in multiple transactions on February 28, 2017 at an actual sale price ranging from $47.10 to $47.28 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.