Filing Details

Accession Number:
0001683168-17-003127
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-20 18:30:11
Reporting Period:
2017-11-16
Accepted Time:
2017-11-20 18:30:11
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 2017-11-16 80,000 $9.96 522,837 No 4 M Direct
Common Stock, $.001 Par Value Disposition 2017-11-16 43,749 $45.40 479,088 No 4 F Direct
Common Stock, $.001 Par Value Disposition 2017-11-16 1,300 $45.30 477,788 No 4 S Direct
Common Stock, $.001 Par Value Disposition 2017-11-20 2,300 $45.20 475,488 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S 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 Non-Qualified Stock Option (Right to Buy) Disposition 2017-11-16 80,000 $0.00 80,000 $9.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
393,905 2023-09-26 No 4 M Direct
Footnotes
  1. Represents a "net exercise" of outstanding stock options. The reporting person received 36,251 shares of common stock on net exercise of option to purchase 80,000 shares of common stock. The Company withheld 43,749 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2017 of $45.40, pursuant to the terms of the 2013 Equity Incentive Plan.
  2. The shares were sold in multiple transactions on November 16, 2017 at an actual sale price $45.30 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 November 20, 2017 at an actual sale price $45.20 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.
  4. Options fully vested.