0001683168-17-001257.txt : 20170515 0001683168-17-001257.hdr.sgml : 20170515 20170515160410 ACCESSION NUMBER: 0001683168-17-001257 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170510 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 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: Lin Chewei CENTRAL INDEX KEY: 0001601346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 17844163 MAIL ADDRESS: STREET 1: 13115 JESS PIRTIE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 4 1 chewei_f4-051017.xml OWNERSHIP DOCUMENT X0306 4 2017-05-10 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001601346 Lin Chewei C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 1 0 0 0 Common Stock, $.001 par value 2017-05-10 4 S 0 9700 63.4536 D 74017 D Common Stock, $.001 par value 2017-05-11 4 S 0 5300 65.00 D 68717 D Common Stock, $.001 par value 2017-05-12 4 S 0 7500 67.00 D 61217 D The shares were sold in multiple transactions on May 10, 2017 at an actual sale price ranging from $63.00 to $65.00 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 11, 2017 at a price $65.00 per share. 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 during each transaction. The shares were sold in multiple transactions on May 12, 2017 at a price $67.00 per share. 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 during each transaction. /s/ David C. Kuo, attorney in fact for Che-Wei Lin 2017-05-15