Filing Details
- Accession Number:
- 0001140361-11-038839
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-01 17:34:33
- Reporting Period:
- 2011-07-29
- Filing Date:
- 2011-08-01
- Accepted Time:
- 2011-08-01 17:34:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1122342 | Alliance Fiber Optic Products Inc | AFOP | Semiconductors & Related Devices (3674) | 770554122 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1254090 | Shin Wei Tsay | C/O Alliance Fiber Optic Products, Inc. 275 Gibraltar Drive Sunnyvale CA 94089 | Svp Of Product Development | 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 | Disposition | 2011-07-29 | 6,700 | $8.00 | 40,489 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 400 | $8.01 | 40,089 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 400 | $8.02 | 39,689 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 400 | $8.03 | 39,289 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 1,500 | $8.04 | 37,789 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 2,000 | $8.05 | 35,789 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 300 | $8.06 | 35,489 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 100 | $8.22 | 35,389 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 100 | $8.23 | 35,289 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-29 | 100 | $8.26 | 35,189 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common | Stock Option (Right to buy) | Acquisiton | 2011-07-29 | 12,000 | $4.30 | 12,000 | $4.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 47,189 | 2003-01-01 | 2011-10-24 | No | 4 | M | Direct |
Footnotes
- The total 12,000 shares of common stock were granted on October 24, 2001 and vest in four equal installments beginning on January 1, 2002
- Share amounts and exercise price reflect a 1-for-5 reverse split of the common stock effected on August 27, 2010.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 22, 2011.
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