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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2015
Apr 21, 2015
31853_dirs_2015-04-21_9e224328-5a1d-49e3-b17f-626cf9a0fa69.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: 2015-04-17
Reporting Person: Chang Hung-Lun (Fred) (*** See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-04-17 | Common Stock, $.001 par value | M | 2167 | $6 | Acquired | 7167 | Direct |
| 2015-04-17 | Common Stock, $.001 par value | M | 1833 | $6 | Acquired | 9000 | Direct |
| 2015-04-17 | Common Stock, $.001 par value | S | 4000 | $15.1856 | Disposed | 5000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-04-17 | Incentive Stock Option (Right to Buy) | $6 | M | 2167 | Disposed | 2019-10-19 | Common Stock, $0.001 par value (2167) | Direct |
| 2015-04-17 | Incentive Stock Option (Right to Buy) | $6 | M | 1833 | Disposed | 2019-10-19 | Common Stock, $0.001 par value (1833) | Direct |
Footnotes
F1: Sales were effected pursuant to a Rule 10b5-1 trading plan dated March 5, 2015.
F2: The shares were sold in multiple transactions on April 17, 2015 at an actual sale price ranging from $14.87 to $15.10 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F3: Options fully vested.