SEC Form 4 · accession 0001683168-18-001587
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
Jun 1, 2018
Accepted (ET)
Jun 4, 2018 · 4:19 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 | Jun 1, 2018 | M | 4,000 | $7.50 | A | 71,622 | D | |
| Common Stock, $.001 par valueF1 | Jun 1, 2018 | F | 927 | $46.77 | D | 70,695 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F2 | $7.50 | Jun 1, 2018 | M | 4,000 | D | — | Jan 18, 2023 | Common Stock, $0.001 par value | 4,000 | 3,800 | D |
Explanation of responses
- F1Reflects a "net exercise" of outstanding stock options. The reporting person received 3,073 shares of common stock on the net exercise of the option to purchase 4,000 shares of common stock. The Company withheld 927 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on May 31, 2018 of $46.77, pursuant to the terms of 2013 Equity Incentive Plan.
- F2Options fully vested.