SEC Form 4 · accession 0001683168-18-000337
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
Feb 5, 2018
Accepted (ET)
Feb 7, 2018 · 4:04 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 valueF1 | Feb 5, 2018 | F | 674 | $32.81 | D | 50,279 | D | |
| Common Stock, $.001 par valueF2 | Feb 6, 2018 | A | 21,920 | $0.00 | A | 72,199 | 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 Restricted Stock Units (RSUs) were granted under the Company's 2013 Equity Incentive Plan, as amended. One-sixteenth of the RSUs vest every three months commencing on January 21, 2018.