Filing Details
- Accession Number:
- 0001206774-13-003387
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-25 16:00:18
- Reporting Period:
- 2013-09-23
- Filing Date:
- 2013-09-25
- Accepted Time:
- 2013-09-25 16:00:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1247278 | A David Hubbard | C/O Alliance Fiber Optic Products, Inc. 275 Gibraltar Drive Sunnyvale CA 94089 | Exec Vice Pres, Sales And Mktg | 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 | 2013-09-23 | 44,000 | $21.71 | 100,954 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2013-09-23 | 36,000 | $3.98 | 36,000 | $3.98 |
| Common | Stock Option (Right to buy) | Acquisiton | 2013-09-23 | 8,000 | $4.58 | 8,000 | $4.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 136,954 | 2011-07-23 | 2020-07-23 | No | 4 | M | Direct |
| 144,954 | 2009-01-28 | 2018-01-28 | 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 100,954 shares of common stock included 66,000 shares restricted stock units which vest in two equal annual installments beginning on May 1, 2014.
- Shares amounts and exercise price reflect a 2-for-1 stock dividend of the common stock effected on August 30, 2013.
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