Filing Details
- Accession Number:
- 0001683168-17-001908
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-07-31 18:27:49
- Reporting Period:
- 2017-07-31
- Filing Date:
- 2017-07-31
- Accepted Time:
- 2017-07-31 18:27:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1587422 | C David Kuo | C/O Applied Optoelectronics, Inc. 13139 Jess Pirtle Blvd. Sugar Land TX 77478 | General Counsel And Secretary | No | 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 | Disposition | 2017-07-31 | 172 | $96.64 | 23,753 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Acquisiton | 2017-07-31 | 300 | $13.84 | 24,053 | No | 4 | M | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2017-07-31 | 578 | $96.47 | 23,475 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | M | 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 | 2017-07-31 | 300 | $0.00 | 300 | $13.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 300 | 2024-01-28 | No | 4 | M | Direct |
Footnotes
- Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock.
- The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017.
- The shares were sold in multiple transactions on July 31, 2017 at an actual sale price ranging from $96.46 to $96.48 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.
- The Incentive stock option award vested as to 1/4th of the total number of shares on January 28, 2014 and 1/8th of the shares vest every six months thereafter.
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