SEC Form 4 · accession 0001683168-17-001345

APPLIED OPTOELECTRONICS, INC. · AAOI

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

Reporting owner

Officer — Chief Financial Officer

Period of report

May 18, 2017

Accepted (ET)

May 19, 2017 · 4:21 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
Common Stock, $.001 par value^F1	May 18, 2017	S	3,168	$63.5054	D	58,526	D
Common Stock, $.001 par value	May 18, 2017	M	3,200	$7.50	A	61,726	D
Common Stock, $.001 par value	May 18, 2017	F	549	$61.38	D	61,177	D
Common Stock, $.001 par value	May 18, 2017	G	200	$0.00	D	60,977	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Incentive Stock Option (Right to Buy)^F4	$7.50	May 18, 2017	M	3,200	D	—	Jan 18, 2023	Common Stock, $0.001 par value	3,200	10,800	D

F1The shares were sold in multiple transactions on May 18, 2017 at an actual sale price ranging from $63.50 to $63.51 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.
F2Represents a "net exercise" of outstanding stock options. The reporting person received 2,651 shares of common stock on net exercise of option to purchase 3,200 shares of common stock. The Company withheld 549 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on May 17, 2017 of $61.38, pursuant to the terms of the 2006 Stock Incentive Plan.
F3Bona fide gift of shares to a 501(c)3 non-profit organization.
F4Option fully vested.