SEC Form 4 · accession 0001683168-18-002536
APPLIED OPTOELECTRONICS, INC. · AAOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Kuo
Officer — General Counsel and Secretary
Period of report
Aug 24, 2018
Accepted (ET)
Aug 28, 2018 · 4:05 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 | Aug 24, 2018 | M | 506 | $9.96 | A | 30,152 | D | |
| Common Stock, $.001 par value | Aug 24, 2018 | M | 300 | $13.84 | A | 30,452 | 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)F1 | $9.96 | Aug 24, 2018 | M | 506 | D | — | Sep 26, 2023 | Common Stock $0.01 par value | 506 | 0 | D |
| Incentive Stock Option (Right to Buy)F1 | $13.84 | Aug 24, 2018 | M | 300 | D | — | Jan 28, 2024 | Common Stock $0.01 par value | 300 | 0 | D |
Explanation of responses
- F1Options fully vested.