SEC Form 4 · accession 0001683168-17-000868
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Black
Director
Period of report
Apr 6, 2017
Accepted (ET)
Apr 10, 2017 · 4:07 pm EDT
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 | Apr 6, 2017 | S | 1,000 | $44.76 | D | 42,242 | D | |
| Common Stock, $.001 par valueF2 | holding | — | — | — | 8,162 | I | By Trust for Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 3, 2017.
- F2Shares are held by Heather Bilandic Black Ttee dtd, of which Mr. Black's spouse is the trustee and beneficial owner.