SEC Form 4 · accession 0001683168-17-003252
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chih-Hsiang (Thompson) Lin
Officer — President and CEO · Director
Period of report
Dec 5, 2017
Accepted (ET)
Dec 7, 2017 · 6:30 pm EST
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 | Dec 5, 2017 | M | 40,000 | $9.96 | A | 515,488 | D | |
| Common Stock, $.001 par valueF1 | Dec 5, 2017 | F | 22,031 | $44.05 | D | 493,457 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F2 | $9.96 | Dec 5, 2017 | M | 40,000 | D | — | Sep 26, 2023 | Common Stock, $0.001 par value | 40,000 | 353,905 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 17,969 shares of common stock on net exercise of option to purchase 40,000 shares of common stock. The Company withheld 22,031 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on December 04, 2017 of $44.05, pursuant to the terms of the 2013 Equity Incentive Plan.
- F2Options fully vested.