SEC Form 4 · accession 0001683168-18-002537
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
Aug 27, 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 27, 2018 | M | 40,000 | $9.96 | A | 698,865 | D | |
| Common Stock, $.001 par valueF1 | Aug 27, 2018 | F | 21,378 | $42.87 | D | 677,487 | 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 | Aug 27, 2018 | M | 40,000 | D | — | Sep 26, 2023 | Common Stock $0.01 par value | 40,000 | 133,905 | D |
Explanation of responses
- F1Reflects "net exercise" of outstanding stock options. The reporting person received 18,622 shares of common stock on net exercise of option to purchase 40,000 shares of common stock. The Company withheld 21,378 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 24, 2018 of $42.87, pursuant to the terms of the 2013 Equity Incentive Plan.
- F2Options fully vested.