SEC Form 4 · accession 0001683168-17-001481
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William H Yeh
Director
Period of report
May 31, 2017
Accepted (ET)
Jun 2, 2017 · 4:19 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 | May 31, 2017 | S | 10,000 | $71.01 | D | 71,167 | D | |
| Common Stock, $.001 par valueF2 | May 31, 2017 | S | 10,000 | $71.3044 | D | 61,167 | D | |
| Common Stock, $.001 par valueF3 | Jun 2, 2017 | S | 10,000 | $74.0558 | D | 51,167 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold in multiple transactions on May 31, 2017 at an actual sale price ranging from $71.00 to $71.16 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 May 31, 2017 at an actual sale price ranging from $71.26 to $71.31 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 June 2, 2017 at an actual sale price ranging from $73.80 to $74.32 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.