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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Sep 25, 2013
31853_dirs_2013-09-25_21d76b00-cb44-4212-b4bd-8fe3147a20a2.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: Li Chung-Yao (Ford) (Sr. VP, Asia General Manager)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2021-08-12 | Common Stock, $0.001 par value (6667) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $6.00 | 2022-05-22 | Common Stock, $0.001 par value (1333) | Direct | |
| Non-Qualified Stock Option (Right to Buy) | $7.50 | 2023-01-18 | Common Stock, $0.001 par value (7667) | Direct |
Footnotes
F1: The stock option grant vested as to 1/4th of the total number of shares on July 1, 2012 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.
F2: 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.
F3: 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.