0001683168-17-001158.txt : 20170510 0001683168-17-001158.hdr.sgml : 20170510 20170510160109 ACCESSION NUMBER: 0001683168-17-001158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170508 FILED AS OF DATE: 20170510 DATE AS OF CHANGE: 20170510 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: Kuo David C CENTRAL INDEX KEY: 0001587422 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 17830137 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 4 1 kuo_f4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-08 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587422 Kuo David C C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 General Counsel and Secretary Common Stock, $.001 par value 2017-05-08 4 S 0 1389 60.00 D 27460 D Common Stock, $.001 par value 2017-05-09 4 M 0 438 7.50 A 27898 D Common Stock, $.001 par value 2017-05-09 4 M 0 300 13.84 A 28198 D Common Stock, $.001 par value 2017-05-09 4 S 0 2398 60.00 D 25800 D Incentive Stock Option (Right to Buy) 7.50 2017-05-09 4 M 0 438 0 D 2023-01-18 Common Stock $0.001 par 438 0 D Incentive Stock Option (Right to Buy) 13.84 2017-05-09 4 M 0 300 0 D 2024-01-28 Common Stock $0.001 par 300 600 D The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017. The shares were sold in multiple transactions on May 8, 2017 at an actual sale price $60.00 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 May 9, 2017 at an actual sale price $60.00 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. Option fully vested. The stock option grant vested as to 1/4th of the total number of shares on January 28, 2015 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semiannual installments until all shares have vested. /s/ David C. Kuo 2017-05-10