SEC Form 4 · accession 0001683168-18-000679
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
Mar 13, 2018
Accepted (ET)
Mar 15, 2018 · 4:07 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 | Mar 13, 2018 | M | 80,000 | $9.96 | A | 680,799 | D | |
| Common Stock, $.001 par valueF1 | Mar 13, 2018 | F | 47,095 | $30.95 | D | 633,704 | 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 | Mar 13, 2018 | M | 80,000 | D | — | Sep 26, 2023 | Common Stock, $0.001 par value | 80,000 | 273,905 | D |
Explanation of responses
- F1Reflects a "net exercise" of outstanding stock options. The reporting person received 32,905 shares of common stock on net exercise of option to purchase 80,000 shares of common stock. The Company withheld 47,095 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on March 12, 2018 of $30.95, pursuant to the terms of the 2013 Equity Incentive Plan.
- F2Options fully vested.