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