Filing Details
- Accession Number:
- 0001019687-16-007137
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-09 19:11:00
- Reporting Period:
- 2016-08-01
- Filing Date:
- 2016-08-09
- Accepted Time:
- 2016-08-09 19:11:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1587599 | J. Stefan Murry | C/O Applied Optoelectronics, Inc. 13139 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, $.001 Par Value | Disposition | 2016-08-01 | 267 | $11.75 | 39,811 | No | 4 | S | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2016-08-05 | 1,058 | $14.27 | 38,753 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- Sold pursuant to a 10b5-1 Plan adopted by the reporting person on 1/30/2015 to satisfy the tax withholding obligation on vesting restricted stock.
- Sold pursuant to a 10b5-1 Plan adopted by the reporting person on 2/4/2016 to satisfy the tax withholding obligation on vesting restricted stock.
Billionaire Hedge Funds
