Filing Details

Accession Number:
0001683168-17-001270
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-15 16:56:54
Reporting Period:
2017-05-11
Filing Date:
2017-05-15
Accepted Time:
2017-05-15 16:56:54
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
1587420 (Thompson) Chih-Hsiang Lin C/O Applied Optoelectronics, Inc.
13139 Jess Pirtle Blvd.
Sugar Land TX 77478
President And Ceo Yes Yes 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 Acquisiton 2017-05-11 2,000 $6.00 320,455 No 4 M Direct
Common Stock, $.001 Par Value Disposition 2017-05-11 289 $64.97 320,166 No 4 F Direct
Common Stock, $.001 Par Value Acquisiton 2017-05-11 17,407 $6.00 337,573 No 4 M Direct
Common Stock, $.001 Par Value Disposition 2017-05-11 2,511 $64.97 335,062 No 4 F Direct
Common Stock, $.001 Par Value Acquisiton 2017-05-11 10,667 $6.00 345,729 No 4 M Direct
Common Stock, $.001 Par Value Disposition 2017-05-11 1,540 $64.97 344,189 No 4 F Direct
Common Stock, $.001 Par Value Disposition 2017-05-12 8,586 $66.00 335,603 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, $0.001 Par Value Incentive Stock Option (Right to Buy) Disposition 2017-05-11 2,000 $0.00 2,000 $6.00
Common Stock, $0.001 Par Value Incentive Stock Option Disposition 2017-05-11 17,407 $0.00 17,407 $6.00
Common Stock, $0.001 Par Value Right to Buy Disposition 2017-05-11 10,667 $0.00 10,667 $6.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2020-08-23 No 4 M Direct
0 2021-03-04 No 4 M Direct
0 2022-05-22 No 4 M Direct
Footnotes
  1. Represents a "net exercise" of outstanding stock options. The reporting person received 1,711 shares of common stock on net exercise of option to purchase 2,000 shares of common stock. The Company withheld 289 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on May 10, 2017 of $64.97, pursuant to the terms of the 2006 Stock Incentive Plan.
  2. Represents a "net exercise" of outstanding stock options. The reporting person received 14,896 shares of common stock on net exercise of option to purchase 17,407 shares of common stock. The Company withheld 2,511 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on May 10, 2017 of $64.97, pursuant to the terms of the 2006 Stock Incentive Plan.
  3. Represents a "net exercise" of outstanding stock options. The reporting person received 9,127 shares of common stock on net exercise of option to purchase 10,667 shares of common stock. The Company withheld 1,540 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on May 10, 2017 of $64.97, pursuant to the terms of the 2006 Stock Incentive Plan.
  4. The shares were sold in multiple transactions on May 12, 2017 at an actual sale price ranging from $66.00 to $66.07 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.
  5. Option fully vested.