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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Sep 25, 2013
31853_dirs_2013-09-25_e5bba0e1-1e86-4aec-8bff-4054c8d7178b.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: Kang Juen-Sheng (Andrew) (Director)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series C Convertible Preferred Stock | $ | Common Stock, $0.001 par value (57452) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock, $0.001 par value (16904) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock, $0.001 par value (6748) | Indirect | ||
| Series F Convertible Preferred Stock Convertible | $ | Common Stock, $0.001 par value (83757) | Indirect | ||
| Series G Convertible Preferred Stock | $ | Common Stock, $0.001 par value (34245) | Indirect | ||
| Series G Convertible Warrant (Right to Buy) | $18.00 | Common Stock, $0.001 par value (889) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock, $0.001 par value (45004) | Indirect | ||
| Series F Convertible Preferred Stock | $ | Common Stock, $0.001 par value (87070) | Indirect | ||
| Series G Convertible Preferred Stock | $ | Common Stock, $0.001 par value (23809) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock, $0.001 par value (60717) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock, $0.001 par value (107828) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock, $0.001 par value (16904) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock, $0.001 par value (15751) | Indirect | ||
| Series F Convertible Preferred Stock | $ | Common Stock, $0.001 par value (143359) | Indirect | ||
| Series G Convertible Preferred Stock | $ | Common Stock, $0.001 par value (53293) | Indirect | ||
| Series G Convertible Warrant (Right to Buy) | $18.00 | Common Stock, $0.001 par value (889) | Indirect | ||
| Series G Convertible Preferred Stock | $ | Common Stock, $0.001 par value (19047) | Indirect | ||
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2019-05-29 | Common Stock, $0.001 par value (667) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (278) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2019-10-19 | Common Stock, $0.001 par value (1400) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2021-05-17 | Common Stock, $0.001 par value (1600) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2022-11-13 | Common Stock, $0.001 par value (2000) | Direct |
Footnotes
F1: Each share of Series C Convertible Preferred Stock is convertible to 2.310651 share of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August 20, 2013.
F2: Each share of Series D Convertible Preferred Stock is convertible to 2.535960 share of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August 20, 2013.
F3: Each share of Series E Convertible Preferred Stock is convertible to 3.618590 share of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August 20, 2013.
F4: Each share of Series F Convertible Preferred Stock is convertible to 1.200019 share of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August 20, 2013.
F5: Each share of Series G Convertible Preferred Stock is convertible to 1 share of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August 20, 2013.
F6: The warrant expires on the earlier of February 8, 2020 and upon the completion of the Issuer's initial public offering and is exercisable into 889 shares of Series G Convertible Preferred Stock. Each share of Series G Convertible Preferred Stock is convertible to 1 share of the Issuer's common stock upon completion of the Issuer's initial public offering.
F7: Each share of Series A Convertible Preferred Stock is convertible to 3.173126 share of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August
20, 2013.
F8: The stock option grant fully vested on August 1, 2009.
F9: The stock option grant fully vested on July 1, 2008.
F10: The stock option grant fully vested on August 1, 2010.
F11: The stock option grant fully vested on August 1, 2011.
F12: The stock option grant fully vested on August 1, 2012.
F13: The reporting person disclaims any and all pecuniary interests and beneficial ownership interests of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.