0001019687-16-007137.txt : 20160809 0001019687-16-007137.hdr.sgml : 20160809 20160809191100 ACCESSION NUMBER: 0001019687-16-007137 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160801 FILED AS OF DATE: 20160809 DATE AS OF CHANGE: 20160809 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murry Stefan J. CENTRAL INDEX KEY: 0001587599 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 161819640 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 4 1 murry_frm4.xml OWNERSHIP DOCUMENT X0306 4 2016-08-01 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587599 Murry Stefan J. C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 Chief Financial Officer Common Stock, $.001 par value 2016-08-01 4 S 0 267 11.75 D 39811 D Common Stock, $.001 par value 2016-08-05 4 S 0 1058 14.2691 D 38753 D Sold pursuant to a 10b5-1 Plan adopted by the reporting person on 1/30/2015 to satisfy the tax withholding obligation on vesting restricted stock. Sold pursuant to a 10b5-1 Plan adopted by the reporting person on 2/4/2016 to satisfy the tax withholding obligation on vesting restricted stock. /s/ David C. Kuo, attorney in fact for Stefan J. Murry 2016-08-09