Filing Details

Accession Number:
0001683168-17-001257
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-15 16:04:10
Reporting Period:
2017-05-10
Filing Date:
2017-05-15
Accepted Time:
2017-05-15 16:04:10
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1158114 Applied Optoelectronics Inc. AAOI Semiconductors & Related Devices (3674) 760533927
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1601346 Chewei Lin C/O Applied Optoelectronics, Inc.
13139 Jess Pirtle Blvd.
Sugar Land TX 77478
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $.001 Par Value Disposition 2017-05-10 9,700 $63.45 74,017 No 4 S Direct
Common Stock, $.001 Par Value Disposition 2017-05-11 5,300 $65.00 68,717 No 4 S Direct
Common Stock, $.001 Par Value Disposition 2017-05-12 7,500 $67.00 61,217 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. The shares were sold in multiple transactions on May 10, 2017 at an actual sale price ranging from $63.00 to $65.00 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.
  2. The shares were sold in multiple transactions on May 11, 2017 at a price $65.00 per share. 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.
  3. The shares were sold in multiple transactions on May 12, 2017 at a price $67.00 per share. 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.