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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Oct 2, 2013
31853_dirs_2013-10-02_a35322a0-521d-46b9-8ccd-da2e47b17e1b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2013-10-01
Reporting Person: BLACK RICHARD B (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-10-01 | Common Stock, $0.001 par value | C | 9690 | — | Acquired | 9690 | Direct |
| 2013-10-01 | Common Stock, $0.001 par value | C | 7999 | — | Acquired | 7999 | Direct |
| 2013-10-01 | Common Stock, $0.001 par value | C | 2404 | — | Acquired | 2404 | Direct |
| 2013-10-01 | Common Stock, $0.001 par value | C | 3192 | — | Acquired | 3192 | Indirect |
| 2013-10-01 | Common Stock, $0.001 par value | C | 3999 | — | Acquired | 3999 | Indirect |
| 2013-10-01 | Common Stock, $0.001 par value | C | 971 | — | Acquired | 971 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-10-01 | Series C Convertible Preferred Stock | $ | C | 4194 | Disposed | Common Stock, $0.001 par value (9690) | Direct | |
| 2013-10-01 | Series F Convertible Preferred Stock | $ | C | 6666 | Disposed | Common Stock, $0.001 par value (7999) | Direct | |
| 2013-10-01 | Series G Convertible Preferred Stock | $ | C | 2404 | Disposed | Common Stock, $0.001 par value (2404) | Direct | |
| 2013-10-01 | Series D Convertible Preferred Stock | $ | C | 1259 | Disposed | Common Stock, $0.001 par value (3192) | Indirect | |
| 2013-10-01 | Series F Convertible Preferred Stock | $ | C | 3333 | Disposed | Common Stock, $0.001 par value (3999) | Indirect | |
| 2013-10-01 | Series G Convertible Preferred Stock | $ | C | 971 | Disposed | Common Stock, $0.001 par value (971) | Indirect |
Footnotes
F1: Each share of Series C Convertible Preferred Stock converted into 2.310651 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.
F2: Each share of Series F Convertible Preferred Stock converted into 1.200019 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.
F3: Each share of Series G Convertible Preferred Stock converted into 1 share of the Issuer's common stock upon completion of the Issuer's initial public offering.
F4: Each share of Series D Convertible Preferred Stock converted into 2.535960 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.