Filing Details
- Accession Number:
- 0001206774-13-001306
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2013-04-03 13:37:39
- Reporting Period:
- 2013-04-02
- Filing Date:
- 2013-04-03
- Accepted Time:
- 2013-04-03 13:37:39
- Original Submission Date:
- 2013-03-27
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1122342 | Alliance Fiber Optic Products Inc | AFOP | Semiconductors & Related Devices (3674) | 770554122 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1134204 | C Peter Chang | C/O Alliance Fiber Optic Products, Inc. 275 Gibraltar Drive Sunnyvale CA 94089 | Chair, Pres And Chief Exe Off | 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 | Disposition | 2013-03-27 | 5,113 | $13.03 | 1,191,320 | No | 4 | S | Direct | |
Common Stock | Disposition | 2013-03-28 | 4,107 | $13.03 | 1,191,320 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 Option (Right to buy) | Acquisiton | 2013-03-27 | 5,113 | $7.80 | 5,113 | $7.80 |
Common | Stock Option (Right to buy) | Acquisiton | 2013-03-28 | 4,107 | $7.80 | 4,107 | $7.80 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,196,433 | 2004-10-01 | 2013-12-29 | No | 4 | M | Direct |
1,195,427 | 2004-10-01 | 2013-12-29 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 28, 2013.
- The total 1,191,320 shares of common stock included 200,000 shares restricted stock units ("RSUs") granted to Peter Chang on May 6, 2011, which RSUs vest in five equal annual installments beginning on May 1, 2012 and vest in full in the event of change in control or in the event of termination of Peter Chang's service due to death or involuntary discharge.