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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Sep 25, 2013
31853_dirs_2013-09-25_8dd422cc-687d-43c4-a2e4-b98647ff5e24.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: Anselm Klaus Alexander (VP of Semiconductor Products)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value | 3666 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $6.00 | 2014-12-31 | Common Stock, $0.001 par value (1000) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $3.00 | 2014-12-31 | Common Stock, $0.001 par value (2000) | Direct | |
| Incentive Stock Option (Right to Buy) | $4.50 | 2014-07-31 | Common Stock, $0.001 par value (1000) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (950) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (1333) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (1500) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2020-08-23 | Common Stock, $0.001 par value (4333) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2021-03-04 | Common Stock, $0.001 par value (2833) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2022-05-22 | Common Stock, $0.001 par value (2667) | Direct | |
| Incentive Stock Option (Right to Buy) | $7.50 | 2023-01-18 | Common Stock, $0.001 par value (10333) | Direct |
Footnotes
F1: The stock option grant fully vested on March 1, 2005.
F2: The stock option grant fully vested on July 1, 2006.
F3: The stock option grant fully vested on July 31, 2008.
F4: The stock option grant fully vested on March 3, 2010.
F5: The stock option grant fully vested on April 16, 2011.
F6: The stock option grant fully vested on February 12, 2012.
F7: 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.
F8: 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.
F9: 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.
F10: 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.