Filing Details
- Accession Number:
- 0001683168-16-000730
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-18 18:59:51
- Reporting Period:
- 2016-11-17
- Filing Date:
- 2016-11-18
- Accepted Time:
- 2016-11-18 18:59:51
- 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. 13139 Jess Pirtle Blvd. Sugar Land TX 77478 | *** See Remarks | 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 | Acquisiton | 2016-11-17 | 3,924 | $6.00 | 26,726 | No | 4 | M | Direct | |
| Common Stock, $.001 Par Value | Acquisiton | 2016-11-17 | 3,899 | $6.00 | 30,625 | No | 4 | M | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2016-11-17 | 10,000 | $25.74 | 20,625 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2016-11-17 | 3,924 | $0.00 | 3,924 | $6.00 |
| Common Stock, $0.001 Par Value | Incentive Stock Option (Right to Buy) | Disposition | 2016-11-17 | 3,899 | $0.00 | 3,899 | $6.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-08-23 | No | 4 | M | Direct | |
| 768 | 2021-03-04 | No | 4 | M | Direct |
Footnotes
- The shares were sold in multiple transactions on November 17, 2016 at an actual sale price ranging from $25.60 to $25.85 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Option fully vested.
Billionaire Hedge Funds
