Home > Insider Trading > Filing (0001683168-17-001158)

Filing Details

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
1587422	C David Kuo	C/O Applied Optoelectronics, Inc. 13139 Jess Pirtle Blvd. Sugar Land TX 77478	General Counsel And Secretary	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
Common Stock, $.001 Par Value	Disposition	2017-05-08	1,389	$60.00	27,460	No	4	S	Direct
Common Stock, $.001 Par Value	Acquisiton	2017-05-09	438	$7.50	27,898	No	4	M	Direct
Common Stock, $.001 Par Value	Acquisiton	2017-05-09	300	$13.84	28,198	No	4	M	Direct
Common Stock, $.001 Par Value	Disposition	2017-05-09	2,398	$60.00	25,800	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
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	Incentive Stock Option (Right to Buy)	Disposition	2017-05-09	438	$0.00	438	$7.50
Common Stock $0.001 Par	Incentive Stock Option (Right to Buy)	Disposition	2017-05-09	300	$0.00	300	$13.84

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2023-01-18	No	4	M	Direct
600		2024-01-28	No	4	M	Direct

Footnotes

The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017.
The shares were sold in multiple transactions on May 8, 2017 at an actual sale price $60.00 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.
The shares were sold in multiple transactions on May 9, 2017 at an actual sale price $60.00 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.
The stock option grant vested as to 1/4th of the total number of shares on January 28, 2015 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semiannual installments until all shares have vested.