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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2015
Oct 30, 2015
31853_dirs_2015-10-30_cc13e410-3fae-4d42-9898-5693a7741a0e.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: 2015-10-28
Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-10-28 | Common Stock, $0.001 par value | M | 5833 | $6.00 | Acquired | 104270 | Direct |
| 2015-10-28 | Common Stock, $0.001 par value | F | 2247 | $20.45 | Disposed | 102023 | Direct |
| 2015-10-28 | Common Stock, $0.001 par value | M | 2000 | $6.00 | Acquired | 104023 | Direct |
| 2015-10-28 | Common Stock, $0.001 par value | F | 771 | $20.45 | Disposed | 103252 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-10-28 | Incentive Stock Option (Right to Buy) | $6.00 | M | 5833 | Disposed | 2019-10-19 | Common Stock, $0.001 par value (5833) | Direct |
| 2015-10-28 | Incentive Stock Option (Right to Buy | $6.00 | M | 2000 | Disposed | 2019-10-19 | Common Stock, $0.001 par value (2000) | Direct |
Footnotes
F1: Options fully vested
F2: Represents a "net exercise" of outstanding stock options. The reporting person received 3,586 shares of common stock on net exercise of option to purchase 5,833 shares of common stock. The Company withheld 2,247 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 27, 2015 of $20.45, pursuant to the terms of the 2006 Stock Incentive Plan.
F3: Represents a "net exercise" of outstanding stock options. The reporting person received 1,229 shares of common stock on net exercise of option to purchase 2,000 shares of common stock. The Company withheld 771 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 27, 2015 of $20.45, pursuant to the terms of the 2006 Stock Incentive Plan.