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Home > Insider Trading > Filing (0001019687-14-004123)

Filing Details

Accession Number:: 0001019687-14-004123
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-11-07 18:07:51
Reporting Period:: 2014-11-05

Filing Date:: 2014-11-07
Accepted Time:: 2014-11-07 18:07:51
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
1587462	(Fred) Hung-Lun Chang	C/O Applied Optoelectronics, Inc. 13115 Jess Pirtle Blvd. Sugar Land TX 77478	*** See Remarks	No	Yes	No	No

Reported Non-Derivative Transactions

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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	Disposition	2014-11-05	100	$15.61	2,000	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.63	1,900	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.66	1,800	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	200	$15.61	1,600	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.66	1,500	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.67	1,400	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.70	1,300	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.58	1,200	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.76	1,100	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.76	1,000	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.65	900	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.70	800	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.74	700	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.74	600	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.76	500	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.77	400	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.76	300	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	200	$15.76	100	No	4	S	Direct
Common Stock, $0.001 Par Value	Disposition	2014-11-05	100	$15.58	0	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
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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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	2014-11-05	367	$0.00	367	$6.00
Common Stock, $0.001 Par Value	Incentive Stock Option (Right to Buy)	Disposition	2014-11-05	538	$0.00	538	$6.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2019-10-19	No	4	M	Direct
0		2019-10-19	No	4	M	Direct

Footnotes

Sales were effected pursuant to Rule 10b5-1 trading plan dated May 13, 2014.
Options fully vested.