SEC Form 4 · accession 0001683168-17-000528

APPLIED OPTOELECTRONICS, INC. · AAOI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — *** See Remarks

Period of report

Mar 7, 2017

Accepted (ET)

Mar 9, 2017 · 4:17 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
Common Stock, $.001 par value^F1	Mar 7, 2017	S	1,500	$53.50	D	133,242	D
Common Stock, $.001 par value^F2	Mar 7, 2017	S	2,000	$54.00	D	131,242	D
Common Stock, $.001 par value^F3	Mar 7, 2017	S	1,500	$54.50	D	129,742	D

No Table II lines on this filing.

F1The shares were sold in multiple transactions on March 7, 2017 at an actual sale price $53.50 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.
F2The shares were sold in multiple transactions on March 7, 2017 at an actual sale price $54.00 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.
F3The shares were sold in multiple transactions on March 7, 2017 at an actual sale price $54.50 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.

*** Asia General Manager and Senior Vice President of Network Equipment Module Business Unit