Filing Details
- Accession Number:
- 0001019687-14-003709
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-25 17:07:48
- Reporting Period:
- 2014-09-23
- Filing Date:
- 2014-09-25
- Accepted Time:
- 2014-09-25 17:07:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1197561 | Jr L James Dunn | C/O Applied Optoelectronics, Inc, 13115 Jess Pirtle Blvd. Sugar Land TX 77478 | Chief Financial Officer | 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, $0.001 Par Value | Acquisiton | 2014-09-23 | 2,500 | $7.50 | 2,500 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2014-09-23 | 2,500 | $17.00 | 0 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2014-09-23 | 1,875 | $9.96 | 1,875 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2014-09-23 | 1,875 | $17.01 | 0 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2014-09-23 | 1,100 | $13.84 | 1,100 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2014-09-23 | 1,100 | $17.09 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2014-09-23 | 1,250 | $0.00 | 1,250 | $7.50 |
| Common Stock, $0.001 Par Value | Incentive Stock Option (Right to Buy) | Disposition | 2014-09-23 | 1,250 | $0.00 | 1,250 | $7.50 |
| Common Stock, $0.001 Par Value | Incentive Stock Option (Right to Buy) | Disposition | 2014-09-23 | 1,875 | $0.00 | 1,875 | $9.96 |
| Common Stock, $0.001 Par Value | Incentive Stock Option (Right to Buy) | Disposition | 2014-09-23 | 1,100 | $0.00 | 1,100 | $13.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-07-01 | 2014-11-15 | No | 4 | M | Direct |
| 0 | 2014-08-15 | 2014-11-15 | No | 4 | M | Direct |
| 0 | 2014-08-15 | 2014-11-15 | No | 4 | M | Direct |
| 0 | 2014-08-15 | 2014-11-15 | No | 4 | M | Direct |
Billionaire Hedge Funds
