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APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2017
Aug 8, 2017
31853_dirs_2017-08-08_a928a445-21c3-49d2-bfc0-de99fe7ea933.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: 2017-08-07
Reporting Person: Kuo David C (General Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-08-07 | Common Stock, $.001 par value | F | 611 | $64.60 | Disposed | 22864 | Direct |
| 2017-08-07 | Common Stock, $.001 par value | S | 889 | $70 | Disposed | 21975 | Direct |
Footnotes
F1: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock award granted on February 4, 2016.
F2: The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017.
F3: The shares were sold in multiple transactions on August 7, 2017 at an actual sale price at $70.00 per share. The price reported reflected 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 during each transaction.