SEC Form 4 · accession 0001683168-17-001911
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan J. Murry
Officer — Chief Financial Officer
Period of report
Jul 27, 2017
Accepted (ET)
Jul 31, 2017 · 7:23 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 | Jul 27, 2017 | M | 3,000 | $7.50 | A | 62,704 | D | |
| Common Stock, $.001 par valueF1 | Jul 27, 2017 | F | 327 | $98.76 | D | 62,377 | D | |
| Common Stock, $.001 par valueF2 | Jul 31, 2017 | F | 344 | $96.64 | D | 62,033 | 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)F3 | $7.50 | Jul 27, 2017 | M | 3,000 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 3,000 | 7,800 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 2,673 shares of common stock on net exercise of option to purchase 3,000 shares of common stock. The Company withheld 327 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on July 26, 2017 of $98.76, pursuant to the terms of the 2006 Incentive Plan.
- F2Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock.
- F3Option fully vested.