0001683168-17-000528.txt : 20170309 0001683168-17-000528.hdr.sgml : 20170309 20170309161711 ACCESSION NUMBER: 0001683168-17-000528 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170307 FILED AS OF DATE: 20170309 DATE AS OF CHANGE: 20170309 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: Yeh Shu-Hua (Joshua) CENTRAL INDEX KEY: 0001587600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 17678714 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 4 1 yeh_f4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-07 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587600 Yeh Shu-Hua (Joshua) C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 *** See Remarks Common Stock, $.001 par value 2017-03-07 4 S 0 1500 53.50 D 133242 D Common Stock, $.001 par value 2017-03-07 4 S 0 2000 54.00 D 131242 D Common Stock, $.001 par value 2017-03-07 4 S 0 1500 54.50 D 129742 D The shares were sold in multiple transactions on March 7, 2017 at an actual sale price $53.50 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 March 7, 2017 at an actual sale price $54.00 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 March 7, 2017 at an actual sale price $54.50 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. *** Asia General Manager and Senior Vice President of Network Equipment Module Business Unit /s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh 2017-03-09