SEC Form 4 · accession 0001683168-17-001985
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
Aug 7, 2017
Accepted (ET)
Aug 8, 2017 · 4:17 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 | Aug 7, 2017 | F | 611 | $64.60 | D | 22,864 | D | |
| Common Stock, $.001 par valueF2,F3 | Aug 7, 2017 | S | 889 | $70.00 | D | 21,975 | 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 award granted on February 4, 2016.
- 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 August 7, 2017 at an actual sale price at $70.00 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.