0001683168-18-000139.txt : 20180116 0001683168-18-000139.hdr.sgml : 20180116 20180116160111 ACCESSION NUMBER: 0001683168-18-000139 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180111 FILED AS OF DATE: 20180116 DATE AS OF CHANGE: 20180116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLACK RICHARD B CENTRAL INDEX KEY: 0001199697 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 18528618 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED OPTOELECTRONICS, INC. CENTRAL INDEX KEY: 0001158114 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 760533927 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 BUSINESS PHONE: 281-295-1800 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER COMPANY: FORMER CONFORMED NAME: APPLIED OPTOELECTRONICS INC DATE OF NAME CHANGE: 20010824 4 1 black_f4.xml OWNERSHIP DOCUMENT X0306 4 2018-01-11 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001199697 BLACK RICHARD B C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 1 0 0 0 Common Stock, $.001 par value 2018-01-11 4 S 0 1000 35.37 D 34478 D Common Stock, $.001 par value 8162 I By Trust for Spouse The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 3, 2017. Shares held by Heather Bilandic Black Ttee dtd, of which Mr. Black's spouse is the trustee and beneficial owner. /s/ David C. Kuo, attorney in fact for Richard B. Black 2018-01-15