0001683168-16-000732.txt : 20161118
0001683168-16-000732.hdr.sgml : 20161118
20161118190249
ACCESSION NUMBER: 0001683168-16-000732
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161116
FILED AS OF DATE: 20161118
DATE AS OF CHANGE: 20161118
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: Murry Stefan J.
CENTRAL INDEX KEY: 0001587599
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36083
FILM NUMBER: 162008840
MAIL ADDRESS:
STREET 1: 13139 JESS PIRTLE BLVD.
CITY: SUGAR LAND
STATE: TX
ZIP: 77478
4
1
murray_f4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-11-16
0
0001158114
APPLIED OPTOELECTRONICS, INC.
AAOI
0001587599
Murry Stefan J.
C/O APPLIED OPTOELECTRONICS, INC.
13139 JESS PIRTLE BLVD.
SUGAR LAND
TX
77478
0
1
0
0
Chief Financial Officer
Common Stock, $.001 par value
2016-11-16
4
M
0
5667
6.00
A
40760
D
Common Stock, $.001 par value
2016-11-16
4
F
0
1377
24.70
D
39383
D
Common Stock, $.001 par value
2016-11-16
4
M
0
6667
6.00
A
46050
D
Common Stock, $.001 par value
2016-11-16
4
F
0
1620
24.70
D
44430
D
Common Stock, $.001 par value
2016-11-16
4
M
0
4333
6.00
A
48763
D
Common Stock, $.001 par value
2016-11-16
4
F
0
1053
24.70
D
47710
D
Common Stock, $.001 par value
2016-11-17
4
S
0
11505
25.7307
D
36205
D
Incentive Stock Option (Right to Buy)
6.00
2016-11-16
4
M
0
5667
0
D
2020-08-23
Common Stock, $0.001 par value
5667
0
D
Incentive Stock Option (Right to Buy)
6.00
2016-11-16
4
M
0
6667
0
D
2021-03-04
Common Stock, $0.001 par value
6667
0
D
Incentive Stock Option (Right to Buy)
6.00
2016-11-16
4
M
0
4333
0
D
2022-05-22
Common Stock, $0.001 par value
4333
0
D
Represents a "net exercise" of outstanding stock options. The reporting person received 4,290 shares of common stock on net exercise of option to purchase 5,667 shares of common stock. The Company withheld 1,377 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.
Represents a "net exercise" of outstanding stock options. The reporting person received 5,047 shares of common stock on net exercise of option to purchase 6,667 shares of common stock. The Company withheld 1,620 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.
Represents a "net exercise" of outstanding stock options. The reporting person received 3,280 shares of common stock on net exercise of option to purchase 4,333 shares of common stock. The Company withheld 1,053 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.
The shares were sold in multiple transactions on November 17, 2016 at an actual sale price ranging from $25.65 to $25.79 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.
/s/ David C. Kuo, attorney in fact for Stefan J. Murry
2016-11-18