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