AI assistant
APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2017
May 10, 2017
31853_dirs_2017-05-10_89f2d53f-0e10-4206-a029-e7a940c79180.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2017-05-08
Reporting Person: Kuo David C (General Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-08 | Common Stock, $.001 par value | S | 1389 | $60.00 | Disposed | 27460 | Direct |
| 2017-05-09 | Common Stock, $.001 par value | M | 438 | $7.50 | Acquired | 27898 | Direct |
| 2017-05-09 | Common Stock, $.001 par value | M | 300 | $13.84 | Acquired | 28198 | Direct |
| 2017-05-09 | Common Stock, $.001 par value | S | 2398 | $60.00 | Disposed | 25800 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-09 | Incentive Stock Option (Right to Buy) | $7.50 | M | 438 | Disposed | 2023-01-18 | Common Stock $0.001 par (438) | Direct |
| 2017-05-09 | Incentive Stock Option (Right to Buy) | $13.84 | M | 300 | Disposed | 2024-01-28 | Common Stock $0.001 par (300) | Direct |
Footnotes
F1: The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017.
F2: The shares were sold in multiple transactions on May 8, 2017 at an actual sale price $60.00 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: The shares were sold in multiple transactions on May 9, 2017 at an actual sale price $60.00 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.
F4: Option fully vested.
F5: The stock option grant vested as to 1/4th of the total number of shares on January 28, 2015 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semiannual installments until all shares have vested.