0001683168-17-001616.txt : 20170619 0001683168-17-001616.hdr.sgml : 20170619 20170619160308 ACCESSION NUMBER: 0001683168-17-001616 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170615 FILED AS OF DATE: 20170619 DATE AS OF CHANGE: 20170619 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: Chang Hung-Lun (Fred) CENTRAL INDEX KEY: 0001587462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 17918535 MAIL ADDRESS: STREET 1: 13139 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER NAME: FORMER CONFORMED NAME: Chang Hung-Lun Fred DATE OF NAME CHANGE: 20130923 4 1 chang_f4.xml OWNERSHIP DOCUMENT X0306 4 2017-06-15 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587462 Chang Hung-Lun (Fred) C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 *** See Remarks Common Stock, $.001 par value 2017-06-15 4 M 0 3435 7.50 A 48721 D Common Stock, $.001 par value 2017-06-15 4 M 0 6565 9.96 A 55286 D Common Stock, $.001 par value 2017-06-15 4 S 0 10000 60.1086 D 45286 D Incentive Stock Option (Right to Buy) 7.50 2017-06-15 4 M 0 3435 0.00 D 2023-01-18 Common Stock, $0.001 par value 3435 0 D Incentive Stock Option (Right to Buy) 9.96 2017-06-15 4 M 0 6565 0.00 D 2023-09-26 Common Stock, $0.001 par value 6565 1310 D The shares were sold in multiple transactions on June 15, 2017 at an actual sale price ranging from $59.69 to $60.405 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. Options fully vested. *** Senior Vice President of Optical Component Business Unit /s/ David C. Kuo, attorney in fact for Hung-Lun (Fred) Chang 2017-06-19