SEC Form 4 · accession 0001683168-17-001845
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Kuo
Officer — General Counsel and Secretary
Period of report
Jul 24, 2017
Accepted (ET)
Jul 24, 2017 · 5:01 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 | Jul 24, 2017 | F | 759 | $89.95 | D | 25,041 | D | |
| Common Stock, $.001 par valueF2,F3 | Jul 24, 2017 | S | 1,116 | $94.8709 | D | 23,925 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares surrendered to the Issuer to satisfy tax withholding obligations upon the vesting of restricted stock.
- F2The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017.
- F3The shares were sold in multiple transactions on July 24, 2017 at an actual sale price ranging from $94.87 to $94.88 per share. The price reported reflected 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 during each transaction.