Filing Details
- Accession Number:
- 0001206774-13-003365
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-20 19:06:26
- Reporting Period:
- 2013-09-18
- Filing Date:
- 2013-09-20
- Accepted Time:
- 2013-09-20 19:06:26
- 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 Exec 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 | 2013-09-18 | 120,000 | $21.60 | 2,502,640 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-09-18 | 80,000 | $21.60 | 2,422,640 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-09-18 | 288,000 | $22.52 | 2,134,640 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common | Stock Option (Right to buy) | Acquisiton | 2013-09-18 | 120,000 | $3.98 | 120,000 | $3.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,622,640 | 2011-07-23 | 2020-07-23 | 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.
- The total 2,134,640 shares of common stock included 400,000 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 120,000 shares RSUs granted to Peter Chang on April 19, 2013, which RSUs vest in three equal annual installments beginning on May 1, 2014. All RSUs 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.
- Share amounts and exercise price reflect a 2-for-1 stock dividend of the common stock effected on August 30, 2013.
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