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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Sep 25, 2013
31853_dirs_2013-09-25_d22707d3-dbd2-4abe-aa2e-8c77dd072782.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2013-09-25
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, Pres. and CEO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value | 54448 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $4.95 | 2014-07-31 | Common Stock, $0.001 par value (2083) | Direct | |
| Incentive Stock Option (Right to Buy) | $7.50 | 2015-06-09 | Common Stock, $0.001 par value (3438) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-05-29 | Common Stock, $0.001 par value (2) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2019-05-29 | Common Stock, $0.001 par value (664) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2017-06-05 | Common Stock, $0.001 par value (5833) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2017-06-05 | Common Stock, $0.001 par value (5833) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2017-08-03 | Common Stock, $0.001 par value (500) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2017-08-03 | Common Stock, $0.001 par value (444) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2018-02-12 | Common Stock, $0.001 par value (4514) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2018-02-12 | Common Stock, $0.001 par value (3819) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (4375) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (222) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2020-08-23 | Common Stock, $0.001 par value (28167) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2021-03-04 | Common Stock, $0.001 par value (17407) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2022-05-22 | Common Stock, $0.001 par value (10667) | Direct | |
| Incentive Stock Option (Right to Buy) | $7.5 | 2023-01-18 | Common Stock, $0.001 par value (91333) | Direct |
Footnotes
F1: The stock option grant fully vested on July 31, 2008.
F2: The stock option grant fully vested on June 9, 2009.
F3: The stock option grant fully vested on August 1, 2009.
F4: The stock option grant fully vested on April 16, 2011.
F5: The stock option grant fully vested on July 1, 2008.
F6: The stock option grant fully vested on February 12, 2012.
F7: The stock option grant fully vested on March 10, 2010.
F8: The stock option grant fully vested on March 3, 2007.
F9: The stock option grant vested as to 1/4th of the total number of shares on August 23, 2011 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested.
F10: The stock option grant vested as to 1/4th of the total number of shares on March 4, 2012 and thereafter vested and shall continue to vest as to 1/36th of the remainder of the shares in equal monthly installments until all shares have vested
F11: The stock option grant vested as to 1/4th of the total number of shares on May 22, 2013 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested.
F12: The stock option grant vests as to 1/4th of the total number of shares on January 1, 2014 and thereafter vests and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested.