0001683168-17-000578.txt : 20170315
0001683168-17-000578.hdr.sgml : 20170315
20170315191534
ACCESSION NUMBER: 0001683168-17-000578
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170313
FILED AS OF DATE: 20170315
DATE AS OF CHANGE: 20170315
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: 17692573
MAIL ADDRESS:
STREET 1: 13139 JESS PIRTLE BLVD.
CITY: SUGAR LAND
STATE: TX
ZIP: 77478
4
1
murray_f4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-03-13
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
2017-03-13
4
M
0
334
9.96
A
62028
D
Common Stock, $.001 par value
2017-03-13
4
M
0
666
9.96
A
62694
D
Common Stock, $.001 par value
2017-03-13
4
S
0
1000
50.9540
D
61694
D
Incentive Stock Option (Right to Buy)
9.96
2017-03-13
4
M
0
334
0
D
2023-09-26
Common Stock, $0.001 par value
334
8000
D
Non-Qualified Stock Option (Right to Buy)
9.96
2017-03-13
4
M
0
666
0
D
2023-09-26
Common Stock, $0.001 par value
666
0
D
The shares were sold in multiple transactions on March 13, 2017 at an actual sale price $50.954 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 stock option award (combined incentive stock option and non-qualified stock option) vested as to 1/4th of the total number of shares on September 26, 2014 and 1/6th of the shares vest every six months thereafter.
/s/ David C. Kuo, attorney in fact for Stefan J. Murry
2017-03-15