Filing Details
- Accession Number:
- 0001683168-16-000732
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-18 19:02:49
- Reporting Period:
- 2016-11-16
- Filing Date:
- 2016-11-18
- Accepted Time:
- 2016-11-18 19:02:49
- 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 | Acquisiton | 2016-11-16 | 5,667 | $6.00 | 40,760 | No | 4 | M | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2016-11-16 | 1,377 | $24.70 | 39,383 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Acquisiton | 2016-11-16 | 6,667 | $6.00 | 46,050 | No | 4 | M | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2016-11-16 | 1,620 | $24.70 | 44,430 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Acquisiton | 2016-11-16 | 4,333 | $6.00 | 48,763 | No | 4 | M | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2016-11-16 | 1,053 | $24.70 | 47,710 | No | 4 | F | Direct | |
| Common Stock, $.001 Par Value | Disposition | 2016-11-17 | 11,505 | $25.73 | 36,205 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2016-11-16 | 5,667 | $0.00 | 5,667 | $6.00 |
| Common Stock, $0.001 Par Value | Incentive Stock Option (Right to Buy) | Disposition | 2016-11-16 | 6,667 | $0.00 | 6,667 | $6.00 |
| Common Stock, $0.001 Par Value | Incentive Stock Option (Right to Buy) | Disposition | 2016-11-16 | 4,333 | $0.00 | 4,333 | $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 | |
| 0 | 2021-03-04 | No | 4 | M | Direct | |
| 0 | 2022-05-22 | No | 4 | M | Direct |
Footnotes
- Represents a "net exercise" of outstanding stock options. The reporting person received 4,290 shares of common stock on net exercise of option to purchase 5,667 shares of common stock. The Company withheld 1,377 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.
- Represents a "net exercise" of outstanding stock options. The reporting person received 5,047 shares of common stock on net exercise of option to purchase 6,667 shares of common stock. The Company withheld 1,620 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.
- Represents a "net exercise" of outstanding stock options. The reporting person received 3,280 shares of common stock on net exercise of option to purchase 4,333 shares of common stock. The Company withheld 1,053 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.
- The shares were sold in multiple transactions on November 17, 2016 at an actual sale price ranging from $25.65 to $25.79 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.
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