SEC Form 4 · accession 0001683168-17-001550
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Black
Director
Period of report
Jun 8, 2017
Accepted (ET)
Jun 12, 2017 · 4:11 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 | Jun 8, 2017 | S | 1,000 | $71.73 | D | 40,242 | D | |
| Common Stock, $.001 par vlueF2 | Jun 9, 2017 | A | 1,236 | $64.71 | A | 41,478 | D | |
| Common Stock, $.001 par valueF3 | 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.
- F2These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2017 Board Compensation Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on June 8, 2017, until all shares have vested.
- F3Shares are held by Heather Bilandic Black Ttee dtd, of which Mr. Black's spouse is the trustee and beneficial owner.