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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013
Sep 25, 2013
31853_dirs_2013-09-25_79cb5efb-1e3b-4b15-8846-d1f363237a36.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: MOORE ALAN D (Director)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series E Convertible Preferred Stock | $ | Common Stock, $0.001 par value (83184) | Direct | ||
| Series F Convertible Preferred Stock | $ | Common Stock, $0.001 par value (15999) | Direct |
Footnotes
F1: Each share of Series E Convertible Preferred Stock is convertible to 3.618590 shares 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 F Convertible Preferred Stock is convertible to 1.200019 shares 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.