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