SEC Form 4 · accession 0001683168-17-001816
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shu-Hua (Joshua) Yeh
Officer — *** See Remarks
Period of report
Jul 18, 2017
Accepted (ET)
Jul 20, 2017 · 4:10 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,F2 | Jul 18, 2017 | S | 10,000 | $90.0042 | D | 89,742 | D | |
| Common Stock, $.001 par valueF1,F3 | Jul 19, 2017 | S | 10,000 | $95.0133 | D | 79,742 | D |
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 June 8, 2017.
- F2The shares were sold in multiple transactions on July 18, 2017 at an actual sale price ranging from $90.00 to $90.07 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 July 19, 2017 at an actual sale price ranging from $95.00 to $95.09 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.