SEC Form 4 · accession 0001683168-17-001616
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
Jun 15, 2017
Accepted (ET)
Jun 19, 2017 · 4:03 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 | Jun 15, 2017 | M | 3,435 | $7.50 | A | 48,721 | D | |
| Common Stock, $.001 par value | Jun 15, 2017 | M | 6,565 | $9.96 | A | 55,286 | D | |
| Common Stock, $.001 par valueF1 | Jun 15, 2017 | S | 10,000 | $60.1086 | 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 | $7.50 | Jun 15, 2017 | M | 3,435 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 3,435 | 0 | D |
| Incentive Stock Option (Right to Buy)F2 | $9.96 | Jun 15, 2017 | M | 6,565 | D | — | Sep 26, 2023 | Common Stock, $0.001 par value | 6,565 | 1,310 | D |
Explanation of responses
- F1The shares were sold in multiple transactions on June 15, 2017 at an actual sale price ranging from $59.69 to $60.405 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.
- F2Options fully vested.
Remarks
*** Senior Vice President of Optical Component Business Unit