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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2015
Apr 20, 2015
31853_dirs_2015-04-20_22b58ee8-7793-44e1-9a4e-ea6b5c0a1a21.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: 2015-04-16
Reporting Person: Li Chung-Yao (Ford) (Former Sr. VP, Asia Gen. Mgr)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-04-16 | Common Stock, $.001 par value | M | 3833 | $7.5 | Acquired | 3833 | Direct |
| 2015-04-16 | Common Stock, $.001 par value | M | 833 | $6 | Acquired | 4666 | Direct |
| 2015-04-16 | Common Stock, $.001 par value | M | 5834 | $6 | Acquired | 10500 | Direct |
| 2015-04-16 | Common Stock, $.001 par value | M | 1250 | $9.96 | Acquired | 11750 | Direct |
| 2015-04-17 | Common Stock, $.001 par value | M | 1000 | $13.84 | Acquired | 12750 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-04-16 | Non-Qualified Stock Option(Right to Buy) | $7.5 | M | 3833 | Disposed | 2015-05-08 | Common Stock, $.001 par value (3833) | Direct |
| 2015-04-16 | Non-Qualified Stock Option(Right to Buy) | $6 | M | 833 | Disposed | 2015-05-08 | Common Stock, $.001 par value (833) | Direct |
| 2015-04-16 | Non-Qualified Stock Option(Right to Buy) | $6 | M | 5834 | Disposed | 2015-05-08 | Common Stock, $.001 par value (5834) | Direct |
| 2015-04-16 | Non-Qualified Stock Option(Right to Buy) | $9.96 | M | 1250 | Disposed | 2015-05-08 | Common Stock, $.001 par value (1250) | Direct |
| 2015-04-17 | Non-Qualified Stock Option(Right to Buy) | $13.84 | M | 1000 | Disposed | 2015-05-08 | Common Stock, $.001 par value (1000) | Direct |
Footnotes
F1: The stock option grant vested as to 1/4th of the total number of shares on January 18, 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.
F2: The stock option grant vested as to 1/4th of the total number of shares on May 22, 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.
F3: The stock option grant vests as to 1/4th of the total number of shares on August 12, 2011 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.
F4: The stock option grant vests as to 1/4th of the total number of shares on September 26, 2013 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.
F5: The stock option grant vests as to 1/4th of the total number of shares on January 28, 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.