SEC Form 4 · accession 0001683168-17-001178
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
May 9, 2017
Accepted (ET)
May 11, 2017 · 4:01 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 value | May 9, 2017 | M | 768 | $6.00 | A | 46,054 | D | |
| Common Stock, $.001 par value | May 9, 2017 | M | 9,232 | $7.50 | A | 55,286 | D | |
| Common Stock, $.001 par valueF1 | May 9, 2017 | S | 10,000 | $59.5013 | D | 45,286 | 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 | $6.00 | May 9, 2017 | M | 768 | D | — | May 22, 2022 | Common Stock, $0.001 par value | 768 | 0 | D |
| Incentive Stock Option (Right to Buy)F2 | $7.50 | May 9, 2017 | M | 9,232 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 9,232 | 3,435 | D |
Explanation of responses
- F1The shares were sold in multiple transactions on May 9, 2017 at an actual sale price ranging from $59.00 to $60.00 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.
- F2Option fully vested
Remarks
*** Senior Vice President of Optical Component Business Unit