SEC Form 4 · accession 0001683168-17-002283
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
Aug 29, 2017
Accepted (ET)
Aug 31, 2017 · 7:00 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 29, 2017 | F | 2,083 | $63.0002 | D | 44,240 | D | |
| Common Stock, $.001 par value | Aug 30, 2017 | F | 2,709 | $63.10 | D | 41,531 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold in multiple transactions on August 29, 2017 at an actual sale price ranging from $63.00 to $63.05 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Remarks
*** Senior Vice President of Optical Component Business Unit