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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2014
Dec 5, 2014
31853_dirs_2014-12-05_1d70bb1b-fb16-4704-820e-9579ca5774be.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2014-12-03
Reporting Person: Anselm Klaus Alexander (VP Semiconductor Products)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-12-03 | Common Stock, $.001 par value | M | 2000 | $3.00 | Acquired | 7143 | Direct |
| 2014-12-03 | Common Stock, $.001 par value | F | 1054 | $9.97 | Disposed | 6089 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-12-03 | Non-Qualified Stock Option (Right to Buy | $3.00 | M | 2000 | Disposed | 2014-12-31 | Common Stock, $0.001 par value (2000) | Direct |
Footnotes
F1: Options fully vested.
F2: Represents shares withheld to satisfy tax liability and the cost of exercising options.
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