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