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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Sep 25, 2013
31853_dirs_2013-09-25_4bbdc9bb-6b8f-4717-8b24-d31e3a6092e4.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: Kuo David C (General Counsel and Secretary)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $6.00 | 2019-03-09 | Common Stock, $0.001 par value (267) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2020-08-23 | Common Stock, $0.001 par value (500) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2021-03-04 | Common Stock, $0.001 par value (667) | Direct | |
| Incentive Stock Option (Right to Buy) | $6.00 | 2022-05-22 | Common Stock, $0.001 par value (333) | Direct | |
| Incentive Stock Option (Right to Buy) | $7.5 | 2023-01-18 | Common Stock, $0.001 par value (3500) | Direct |
Footnotes
F1: The stock option grant fully vested on March 9, 2013.
F2: 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
F3: 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.
F4: 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.
F5: 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.