SEC Form 4 · accession 0001683168-18-001666
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Min-Chu (Mike) Chen
Director
Period of report
Jun 8, 2018
Accepted (ET)
Jun 12, 2018 · 7:20 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,F2 | Jun 8, 2018 | A | 2,535 | $0.00 | A | 24,044 | D | |
| Common Stock, $.001 par valueF3 | holding | — | — | — | 15,000 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are granted in the form of Restricted Stock Units (RSUs) under the Company's 2018 Board Compensation Plan. The grant vests as to 1/12th of the total number of shares on the same day every month starting on July 8, 2018, until all shares have vested.
- F21,914 shares are jointly held as community property under the name of the reporting person's spouse.
- F3Held directly by Yuh-Mei Chung, the spouse of Min-Chu (Mike) Chen. Mr. Chen disclaims beneficial ownership of all securities that may be deemed to be beneficially owned by his spouse, except to the extent of any indirect pecuniary interest therein.